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••••• A•••• M••••••••• L•••
Latest filing Jun 15, 2026
First filing on the tape Dec 16, 2024 · 5 filings
SEC status approved since Jan 16, 2025
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$170M as of Jun 15, 2026
Jan 14, 2025$126M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 15, 2026
Jan 14, 20250 then
Employees (5.A)7 as of Jun 15, 2026
Jan 14, 20259 then
Private funds3 as of Jun 15, 2026
Jan 14, 20253 then
RAUM +35% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 15, 2026; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $56.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%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, performance-basedreportedItem 5.E
- Advisory activities
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$170M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• F••• I••• L••• | Private Equity Fund | $108M | 7 | Apr 20, 2022 |
| H••••• F••• I• L••• | Private Equity Fund | $12.6M | 16 | Apr 20, 2022 |
| H••••• F••• I•• L••• | Private Equity Fund | $5.5M | 10 | Apr 20, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• R••••• · Managing Partnercontrolsince 05/2021 · owns less than 5%
- S•••••••• C••••••• J• · Chief Compliance Officer, Chief Financial Officercontrolsince 05/2021 · owns less than 5%
- A••••• R••••• · Presidentcontrolsince 04/2020 · owns 75% or more of H••••• C••••••• L••
Entity owners
- H••••• C••••••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••• F••• I• G•• L•••pooled vehicle sponsorn
- H••••• F••• I• G•• L•••pooled vehicle sponsorn
- H••••• F••• I•• G•• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Portland, ME1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 3Jun 18, 2025 to Mar 31, 2026
- Advisory activities · 2 to 1Jun 18, 2025 to Mar 31, 2026
- BD registered reps · 1 to 3Jun 18, 2025 to Mar 31, 2026
- Employees · 9 to 7Jun 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $126M to $170MJun 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $126M to $170MJun 18, 2025 to Mar 31, 2026
- RAUM · $126M to $170MJun 18, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueJun 18, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jan 14, 2025 to Jun 18, 2025
- Private funds · 6 to 3Dec 16, 2024 to Jan 14, 2025
Signals
1 dated events
- H••••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)Dec 16, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• A•••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- H••••• A•••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-340-2133reportedpublic record, Form ADV, Jun 15, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026