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•••••••• L••
Latest filing May 20, 2026
First filing on the tape Feb 8, 2023 · 8 filings
SEC status approved since Mar 10, 2023
RAUM
$29B
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
826
402 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$29B as of May 20, 2026
Mar 29, 2024$9.7B then
HNW client RAUM$0 as of May 20, 2026
Mar 31, 2025$0 then
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 29, 20240 then
Employees (5.A)826 as of May 20, 2026
Mar 29, 2024604 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $14BderivedRAUM 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
- unknownderived20 offices incl. principal (1.F.5)
- RAUM growth, one year
- +62%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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- 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=true bd_reps=58.0derived
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
- C•••• Y•••••• K•••••••• · General Counselcontrolsince 01/2023 · owns less than 5%
- K••••••• S••••• B••••••• · Chief Executive Officercontrolsince 01/2023 · owns less than 5%
- K••••••••• P•••• R••• · Chief Financial Officer And Chief Risk Officercontrolsince 01/2023 · owns less than 5%
- R••••••••• F•••• · Chief Administrative Officercontrolsince 01/2023 · owns less than 5%
- V•••••••• J•••••• J•••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- F•••••• S•••• P••••• · Board Membercontrolsince 03/2016 · owns F of H•• G••••• L•••
- K••••••• S••••• B••••••• · Board Membercontrolsince 03/2016 · owns F of H•• G••••• L•••
- K••••••• S••••• B••••••• · Sole Membercontrolsince 03/2016 · owns 75% or more of H•• G•••• G•• L••
- P••••••••• M••••••• D• · Board Membercontrolsince 03/2016 · owns F of H•• G••••• L•••
- P•••• P•••••• · Board Membercontrolsince 03/2016 · owns F of H•• G••••• L•••
- R••••••••• F•••• · Board Membercontrolsince 03/2016 · owns F of H•• G••••• L•••
Entity owners
- H•• I••••••••• P•••••••• L•• · Sole Memberdirect · owns 75% or more
- H•• G•••• A•••••• H•••••••• L••• · L•••••• Partnerindirect · owns 75% or more of H•• G•••• H••••••• I• L•••
- H•• G•••• G•• L•• · General Partnerindirect · owns F of H•• G••••• L•••
- H•• G•••• G•• L•• · General Partnerindirect · owns F of H•• G•••• H••••••• I• L•••
- H•• G•••• G•• L•• · General Partnerindirect · owns F of H•• G•••• A•••••• H•••••••• L•••
- H•• G•••• H••••••• I• L••• · Sole Memberindirect · owns 75% or more of H•• G•••• H••••••• I•• L••
- H•• G•••• H••••••• I•• L•• · Sole Member (H•• I••••••••• P•••••••• L••)indirect · owns 75% or more of H•• I••••••••• P•••••••• L••
- H•• G••••• L••• · L•••••• Partnerindirect · owns 75% or more of H•• G•••• A•••••• H•••••••• L•••
Related persons
Schedule D 7.A
- C•• I•• P•••••••• L••investment advisern
- C•• M••••••••• I••• L••pooled vehicle sponsorn
- C••• L••investment advisern
- H•• A••• M••••••••• L••investment advisern
- H•• A•• O••••••• G•• L•••pooled vehicle sponsorn
- H•• D•• M•• G•• L•••pooled vehicle sponsorn
- H•• D•• M•• O••••••• G•• L•••pooled vehicle sponsorn
- H•• D• G•• L••pooled vehicle sponsorn
- H•• E• G•• L••investment advisern
- H•• E• O••••••• G•• L••pooled vehicle sponsorn
- H•• E• S•• 2••• G•• L••investment adviserbankn
- H•• I••••••••• P••••••• •••• P•• L••investment adviserbankn
- H•• I••••••••• P••••••• •••• L••••••investment advisern
- H•• I••••••••• P••••••• ••• P••• L•••investment advisern
- H•• I••••••••• P••••••• ••• L••investment advisern
- H•• I••••••••• P••••••• C•• ••• L••investment advisern
- H•• I••••••••• P••••••• C•• ••• • L••investment advisern
- H•• I••••••••• P••••••• L•• S•••investment advisern
- H•• I••••••••• P•••••••• L••investment adviserbankyRAUM $176B
- H•• M•••• K•• G• L••pooled vehicle sponsorn
- H•• M•••••••• M••••••••• 2•••• L••investment adviserbankn
- H•• M•••••••• M••••••••• I••• L••investment adviserbankn
- H•• M•••••••• P••••••• 2••• G•• L•••pooled vehicle sponsorn
- H•• M•••••••• P••••••• 2••• O••••••• G• O• G•• L••pooled vehicle sponsorn
- H•• M•••••••• P••••••• 2••• O••••••• G•• L•••pooled vehicle sponsorn
- H•• M•••••••• P••••••• I• G•• L•••pooled vehicle sponsorn
- H•• M•••••••• P••••••• I• O••••••• G•• L•••pooled vehicle sponsorn
- H•• M•••••••• P••••••• I•• L••investment adviserbankn
- H•• M•••••••• P••••••• I•• G•• L•••pooled vehicle sponsorn
- H•• M•••••••• P••••••• I•• O••••••• G• O• G•• L••pooled vehicle sponsorn
Advisers that list H•• A•••••••• L•• as a related person
- 282125 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom59 employees
- Chicago, IL13 employees
- Stamford, CT12 employees
- San Francisco, CA9 employees
- Hong Kong, Hong Kong6 employees
- Dallas, TX6 employees
- Sydney, Australia4 employees
- Los Angeles, CA4 employees
- Palm Beach, FL3 employees
- Singapore, Singapore3 employees
- Toronto, Canada1 employees
- Austin, TX1 employees
- Columbia, SC1 employees
- Dubai, United Arab Emirates1 employees
- Jackson, WY1 employees
- Luxembourg, Luxembourg1 employees
- Raleigh, NC1 employees
- Seattle, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $17,640,296,043 to $28,546,149,242 (+62.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (470 comparable advisers, 92.0th percentile of changes)peers: asset managers, $20B and over (470) · 92% percentile
What changed
consecutive filings, newest first
- Advisory employees · 346 to 402Jul 31, 2025 to Mar 31, 2026
- BD registered reps · 49 to 58Jul 31, 2025 to Mar 31, 2026
- Employees · 717 to 826Jul 31, 2025 to Mar 31, 2026
- Other offices · 20 to 19Jul 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $18B to $29BJul 31, 2025 to Mar 31, 2026
- RAUM · $18B to $29BJul 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 31, 2025
- Other offices · 19 to 20Mar 31, 2025 to Jul 31, 2025
- Accounts · 1 to 2Dec 3, 2024 to Mar 31, 2025
- Advisory employees · 283 to 346Dec 3, 2024 to Mar 31, 2025
- BD registered reps · 35 to 49Dec 3, 2024 to Mar 31, 2025
- Charity clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- HNW clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Individual clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Employees · 604 to 717Dec 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $9.7B to $18BDec 3, 2024 to Mar 31, 2025
- HNW RAUM · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Individual RAUM · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 0.0Dec 3, 2024 to Mar 31, 2025
- RAUM · $9.7B to $18BDec 3, 2024 to Mar 31, 2025
- Accounts · unset to 1.0Feb 8, 2023 to Mar 29, 2024
- Advisory employees · 192 to 283Feb 8, 2023 to Mar 29, 2024
- BD registered reps · 0 to 35Feb 8, 2023 to Mar 29, 2024
- Employees · 524 to 604Feb 8, 2023 to Mar 29, 2024
- Other offices · 15 to 19Feb 8, 2023 to Mar 29, 2024
- Discretionary RAUM · unset to 9715419857.0Feb 8, 2023 to Mar 29, 2024
- Non-discretionary RAUM · unset to 0.0Feb 8, 2023 to Mar 29, 2024
- RAUM · unset to 9715419857.0Feb 8, 2023 to Mar 29, 2024
- Related broker-dealer · false to trueFeb 8, 2023 to Mar 29, 2024
Signals
3 dated events
- H•• A•••••••• L•• reported RAUM $28.5B, up 62% from $17.6B (2025-07-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- H•• A•••••••• L•• reported RAUM $17.6B, up 82% from $9.7B (2024-12-03 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- H•• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 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
- Principal office phone
- 212-287-6767reportedpublic record, Form ADV, May 20, 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