DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
H••••• I••••••••• M••••••••• L••
Latest filing Aug 17, 2026
First filing on the tape Dec 22, 2021 · 14 filings
SEC status approved since Jan 24, 2022
RAUM
$6.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.0B
derived; firm RAUM over IAPD count
Employees
51
35 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$6.0B as of Aug 17, 2026
Mar 31, 2022$358M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 17, 2026
Mar 31, 20220 then
Employees (5.A)51 as of Aug 17, 2026
Mar 31, 202216 then
Private funds6 as of Aug 17, 2026
Mar 31, 20222 then
RAUM +34% over the last fiscal year+116% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $6.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 51.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.0B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• L• C••••••• | Austin, Tx | Apr 11, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• I••••••••• S••••••• F••• I• L••• | Private Equity Fund | $1.6B | 35 | May 1, 2023 |
| H••••• V• G••••• F••• I• L••• | Private Equity Fund | $687M | 57 | Mar 31, 2022 |
| H••••• I••••••••• S••••••• F••• C••••• I• L••• | Private Equity Fund | $274M | 11 | May 1, 2023 |
| H••••• I••••••••• S••••••• F•••••• A•• F••••• F••• I• L••• | Private Equity Fund | $83.0M | 57 | May 1, 2023 |
| H••••• V• G••••• F•••••• A•• F••••• F••• I• L••• | Private Equity Fund | $65.4M | 79 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• N••• · Svp Of Finance & Controllercontrolsince 01/2022 · owns less than 5%
- M••••••• J••••• L••••• · Chief Operating Officercontrolsince 12/2021 · owns less than 5%
- R••••••••• D••••• P•••••• · Chief Compliance Officer And Deputy General Counselcontrolsince 12/2021 · owns less than 5%
- S••••• B••••• N• · Chief Executive Officer & Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- S••••• B••••• N• · Trusteecontrolsince 12/2009 · owns 75% or more of S••••••• T•••• D•••• 1••••••••
Entity owners
- H••••• I••••••••• L• · Sole Memberdirect · owns 75% or more
- K••••• H••••••• L•• · Ownerindirect · owns 75% or more of H••••• I••••••••• L•
- S••••••• T•••• D•••• 1•••••••• · Sole Memberindirect · owns 75% or more of K••••• H••••••• L••
Related persons
Schedule D 7.A
- H••••• I••••••••• S••••••• F••• I• G•• L••investment adviserpooled vehicle sponsorn
- H••••• V• G••••• F••• I• G•• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 33 to 35Mar 31, 2025 to Mar 31, 2026
- Assets in custody · unset to 0.0Mar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- Employees · 54 to 51Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 0 to 1Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.5B to $6.0BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.5B to $6.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $4.5B to $6.0BMar 31, 2025 to Mar 31, 2026
- Accounts · 5 to 6Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 34 to 33Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 2 to 5Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Mar 28, 2024 to Mar 31, 2025
- Employees · 45 to 54Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 5 to 6Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.7B to $4.5BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.7B to $4.5BMar 28, 2024 to Mar 31, 2025
- RAUM · $2.7B to $4.5BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 24 to 34Feb 26, 2024 to Mar 28, 2024
- Employees · 36 to 45Feb 26, 2024 to Mar 28, 2024
- Discretionary RAUM · $2.4B to $2.7BFeb 26, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $2.4B to $2.7BFeb 26, 2024 to Mar 28, 2024
- RAUM · $2.4B to $2.7BFeb 26, 2024 to Mar 28, 2024
- Accounts · 2 to 5Mar 31, 2023 to May 1, 2023
- Advisory employees · 22 to 24Mar 31, 2023 to May 1, 2023
- BD registered reps · 0 to 2Mar 31, 2023 to May 1, 2023
- Pooled vehicle clients · 2 to 5Mar 31, 2023 to May 1, 2023
- Employees · 33 to 36Mar 31, 2023 to May 1, 2023
- Private funds · 2 to 5Mar 31, 2023 to May 1, 2023
- Discretionary RAUM · $597M to $2.4BMar 31, 2023 to May 1, 2023
- Pooled vehicle RAUM · $597M to $2.4BMar 31, 2023 to May 1, 2023
- RAUM · $597M to $2.4BMar 31, 2023 to May 1, 2023
- Related broker-dealer · false to trueMar 31, 2023 to May 1, 2023
- Advisory employees · 6 to 22Nov 17, 2022 to Mar 31, 2023
- Employees · 16 to 33Nov 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $358M to $597MNov 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $358M to $597MNov 17, 2022 to Mar 31, 2023
- RAUM · $358M to $597MNov 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 358275000.0Mar 12, 2022 to Mar 31, 2022
- RAUM · unset to 358275000.0Mar 12, 2022 to Mar 31, 2022
Signals
7 dated events
- H••••• I••••••••• M••••••••• L•• reported RAUM $6.0B, up 34% from $4.5B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- H••••• I••••••••• M••••••••• L•• reported RAUM $4.5B, up 67% from $2.7B (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- H Ira Cohen (Managing Director) no longer on Schedule A of H••••• I••••••••• M••••••••• L•• (listed 2024-02-26, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Nora Cappellini (Svp Of Finance & Controller) appeared on Schedule A of H••••• I••••••••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- H••••• I••••••••• M••••••••• L•• reported RAUM $2.4B, up 304% from $597.0M (2023-03-31 to 2023-05-01)May 1, 2023 · RAUM change · derived
- H••••• I••••••••• M••••••••• L•• reported RAUM $597.0M, up 67% from $358.3M (2022-11-17 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- H••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- Havelii.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 512-987-7314reportedpublic record, Form ADV, Aug 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026