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••••••••• R••••••••• A•••••••
Legal name H••••••••• R••••••••• A••••••• L•••
Latest filing Apr 15, 2026
First filing on the tape Sep 17, 2024 · 6 filings
SEC status approved since Nov 5, 2024
RAUM
$539M
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
1,204
296 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$539M as of Apr 15, 2026
Feb 5, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Feb 5, 20250 then
Employees (5.A)1,204 as of Apr 15, 2026
Feb 5, 20251,157 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 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
- $539MderivedRAUM 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
- 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
- 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
- Investment companies$539M100%
- 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
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=21.0derived
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
- T•••••• J•••• M•••••• · Ceocontrolsince 10/2024 · owns less than 5%
- F•••••••• A•••• J•••• · Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- H••••••••• G• L•• · General Partnerdirect · owns less than 5%
- H••••••••• P••••••• L••• · Limited Partnerdirect · owns 75% or more
- H••••••••• P•••••••• L•• · General Partnerindirect · owns F of H••••••••• P••••••• L•••
Related persons
Schedule D 7.A
- H••••••••• P•••••••• L••investment adviseryRAUM $191B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Jun 6, 2025 to Mar 30, 2026
- Advisory employees · 290 to 296Jun 6, 2025 to Mar 30, 2026
- BD registered reps · 8 to 21Jun 6, 2025 to Mar 30, 2026
- Employees · 1,157 to 1,204Jun 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $0 to $539MJun 6, 2025 to Mar 30, 2026
- RAUM · $0 to $539MJun 6, 2025 to Mar 30, 2026
- Related bank · false to trueJun 6, 2025 to Mar 30, 2026
- Financial planning clients · unset to Feb 5, 2025 to Jun 6, 2025
- Accounts · unset to 0.0Oct 29, 2024 to Feb 5, 2025
- Advisory employees · 293 to 290Oct 29, 2024 to Feb 5, 2025
- BD registered reps · 0 to 8Oct 29, 2024 to Feb 5, 2025
- Employees · 1,154 to 1,157Oct 29, 2024 to Feb 5, 2025
- Discretionary RAUM · unset to 0.0Oct 29, 2024 to Feb 5, 2025
- Non-discretionary RAUM · unset to 0.0Oct 29, 2024 to Feb 5, 2025
- RAUM · unset to 0.0Oct 29, 2024 to Feb 5, 2025
Signals
2 dated events
- Michael John Toomey (Ceo) appeared on Schedule A of H••••••••• R••••••••• A•••••••Oct 29, 2024 · Control person joined · fact
- H••••••••• R••••••••• A••••••• filed its initial SEC registration (Form ADV)Sep 17, 2024 · 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
- harbourvest.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-348-3707reportedpublic record, Form ADV, Apr 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