DFX Intelligence
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Latest filing Mar 3, 2026
First filing on the tape Feb 23, 2023 · 5 filings
SEC status approved since Mar 29, 2023
RAUM
$292M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$292M as of Mar 3, 2026
Mar 15, 2024$75.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 15, 20240 then
Employees (5.A)4 as of Mar 3, 2026
Mar 15, 20243 then
Private funds: no history
RAUM +133% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $97.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 67%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
- +133%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$195M67%
- Other investment advisers$96.9M33%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.33 institutional_share=0.67 related_bd=false related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• B•• · Portfolio Managercontrolsince 10/2022 · owns less than 5%
- L••••• J••••••• P• · Chief Compliance Officer / Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- O••••• C••••••••• J• · Chief Investment Officer / Managing Membercontrolsince 10/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 3, 2026RAUM (Item 5.F) moved from $125,356,462 to $291,516,279 (+133.0%) between the annual amendments of 2025-03-27 and 2026-03-03; the peer median change was +8.0% (161 comparable advisers, 97.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 97% percentile
What changed
consecutive filings, newest first
- Employees · 3 to 4Mar 27, 2025 to Mar 3, 2026
- Discretionary RAUM · $125M to $292MMar 27, 2025 to Mar 3, 2026
- RAUM · $125M to $292MMar 27, 2025 to Mar 3, 2026
- Accounts · 2 to 3Mar 15, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 27, 2025
- HQ city · unset to Mar 15, 2024 to Mar 27, 2025
- HQ state · unset to Mar 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $75.5M to $125MMar 15, 2024 to Mar 27, 2025
- RAUM · $75.5M to $125MMar 15, 2024 to Mar 27, 2025
- Accounts · 1 to 2Jul 24, 2023 to Mar 15, 2024
- Advisory activities · 3 to 2Jul 24, 2023 to Mar 15, 2024
- Financial planning clients · 1-10 to 0Jul 24, 2023 to Mar 15, 2024
- Discretionary RAUM · $43.0M to $75.5MJul 24, 2023 to Mar 15, 2024
- RAUM · $43.0M to $75.5MJul 24, 2023 to Mar 15, 2024
- Accounts · unset to 1.0Feb 23, 2023 to Jul 24, 2023
- Business name · H•••• C••• A•••• M••••••••• L•• to H•••• C••• C••••••• L••Feb 23, 2023 to Jul 24, 2023
- Financial planning clients · unset to 1-10Feb 23, 2023 to Jul 24, 2023
- Legal name · H•••• C••• A•••• M••••••••• L•• to H•••• C••• C••••••• L••Feb 23, 2023 to Jul 24, 2023
- Discretionary RAUM · unset to 43000000.0Feb 23, 2023 to Jul 24, 2023
- Non-discretionary RAUM · unset to 0.0Feb 23, 2023 to Jul 24, 2023
- RAUM · unset to 43000000.0Feb 23, 2023 to Jul 24, 2023
Signals
2 dated events
- ••• LockedMar 3, 2026 · RAUM change · derived
- ••• LockedFeb 23, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- h•••••••••.comreportedpublic record, Form ADV, Mar 3, 2026
- Principal office phone
- 708-617-2410reportedpublic record, Form ADV, Mar 3, 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
- Other 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