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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Former SEC-registered adviser

H• I••••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 318679SEC 801-125715IAPD
Latest filing Dec 2, 2022
First filing on the tape Apr 21, 2022 · 3 filings
RAUM
$3.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$8.1M gross assets
History
3 filings and snapshots on the tape
RAUM$3.7B as of Dec 2, 2022
Apr 21, 2022$9.6M then
HNW client RAUM$3.7B as of Dec 2, 2022
Dec 1, 2022$3.7B then
State-registered IARs (5.B.3)0 as of Dec 2, 2022
Apr 21, 20220 then
Employees (5.A)6 as of Dec 2, 2022
Apr 21, 20226 then
Private funds3 as of Dec 2, 2022
Apr 21, 20224 then
Practice profile
derived from the filing of Dec 2, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7BderivedHNW RAUM over HNW clients
Average account
$915MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • High-net-worth individuals$3.7B100%
  • Pooled investment vehicles$8.1M0.2%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H• E•••••••• F••• I• L•Other Private Fund$5.3M4Mar 20, 2022
      H• P•••••• O••••••• I• L•Venture Capital Fund$2.8M8Mar 20, 2022
      H• C••• M••••••••• F••• L•Private Equity Fund$1.0M1Mar 20, 2022
      H• A••••• F••• L••Private Equity Fund$0100Mar 20, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• A••••• L•••• · Chief Executive Officercontrol
        since 12/2020 · owns less than 5%
      • G••••••• E••••• H•••••• · Chief Legal Officer And Chief Compliance Officercontrol
        since 11/2022 · owns less than 5%
      • M•••••••• J•••••••• L• · Chief Operating Officercontrol
        since 01/2022 · owns less than 5%
      • S••••••• B••••• E••••• · Shareholdercontrol
        since 03/2013 · owns 25% to 50% of D•••••• C••••••• G••••• I•••
      Entity owners
      • H• D•••••• L•• · Member
        direct · owns 75% or more
      • D•••••• C••••••• G••••• I••• · Member
        indirect · owns 75% or more of H• D•••••• L••
      Related persons
      Schedule D 7.A
      • G•••••• G••••• T••••••• I••
        broker-dealern
      • H• A••••• F••• M•••••• L••
        pooled vehicle sponsorn
      • H• E•••••••• F••• I• G• L••
        pooled vehicle sponsorn
      • H• P•••••• P•••••• O••••••• O••••••• I• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · unset to 1.0
        Apr 21, 2022 to Dec 1, 2022
      • Pooled vehicle clients · 4 to 3
        Apr 21, 2022 to Dec 1, 2022
      • Private funds · 4 to 3
        Apr 21, 2022 to Dec 1, 2022
      • Discretionary RAUM · $9.6M to $3.7B
        Apr 21, 2022 to Dec 1, 2022
      • HNW RAUM · unset to 3653499019.0
        Apr 21, 2022 to Dec 1, 2022
      • Pooled vehicle RAUM · $9.6M to $8.1M
        Apr 21, 2022 to Dec 1, 2022
      • RAUM · $9.6M to $3.7B
        Apr 21, 2022 to Dec 1, 2022
      Signals
      3 dated events
      • Heather Emily Goodman (Chief Legal Officer And Chief Compliance Officer) appeared on Schedule A of H• I••••••••• L••
        Dec 2, 2022 · Control person joined · fact
      • R•••••• R•••••• (Chief Legal Officer And Chief Compliance Officer) no longer on Schedule A of H• I••••••••• L•• (listed 2022-12-01, absent 2022-12-02)
        Dec 2, 2022 · Control person left · inference
      • H• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 21, 2022 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026