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•• G•••• L•••
Latest filing Jun 26, 2026
First filing on the tape Aug 14, 2023 · 5 filings
SEC status approved since Sep 13, 2023
RAUM
$947M
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
1
1 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$947M as of Jun 26, 2026
Jun 28, 2024$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Jun 28, 20240 then
Employees (5.A)1 as of Jun 26, 2026
Jun 28, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 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
- $947MderivedRAUM 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
- fixed fees, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$947M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
- E••••• P•••• J••••• · Ceo/Ccocontrolsince 05/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 0Jun 25, 2025 to Jun 26, 2026
- Discretionary RAUM · $1.0B to $947MJun 25, 2025 to Jun 26, 2026
- Pooled vehicle RAUM · $1.0B to $947MJun 25, 2025 to Jun 26, 2026
- RAUM · $1.0B to $947MJun 25, 2025 to Jun 26, 2026
- Financial planning clients · unset to Jun 28, 2024 to Jun 25, 2025
- HQ city · unset to Jun 28, 2024 to Jun 25, 2025
- HQ state · unset to Jun 28, 2024 to Jun 25, 2025
- Discretionary RAUM · $1.1B to $1.0BJun 28, 2024 to Jun 25, 2025
- Pooled vehicle RAUM · $1.1B to $1.0BJun 28, 2024 to Jun 25, 2025
- RAUM · $1.1B to $1.0BJun 28, 2024 to Jun 25, 2025
- Financial planning clients · 0 to unsetJan 9, 2024 to Jun 28, 2024
- Other offices · 0 to 1Jan 9, 2024 to Jun 28, 2024
- Discretionary RAUM · $377M to $1.1BJan 9, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $377M to $1.1BJan 9, 2024 to Jun 28, 2024
- RAUM · $377M to $1.1BJan 9, 2024 to Jun 28, 2024
- Accounts · unset to 1.0Aug 14, 2023 to Jan 9, 2024
- Discretionary RAUM · unset to 376549417.0Aug 14, 2023 to Jan 9, 2024
- Non-discretionary RAUM · unset to 0.0Aug 14, 2023 to Jan 9, 2024
- Pooled vehicle RAUM · unset to 376549417.0Aug 14, 2023 to Jan 9, 2024
- RAUM · unset to 376549417.0Aug 14, 2023 to Jan 9, 2024
Signals
2 dated events
- H•• G•••• L••• reported RAUM $1.1B, up 201% from $376.5M (2024-01-09 to 2024-06-28)Jun 28, 2024 · RAUM change · derived
- H•• G•••• L••• filed its initial SEC registration (Form ADV)Aug 14, 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
- 239-529-0763reportedpublic record, Form ADV, Jun 26, 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