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 Mar 31, 2026
First filing on the tape Nov 26, 2024 · 3 filings
SEC status approved since Jan 7, 2025
RAUM
$10.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.3M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$10.7M as of Mar 31, 2026
Jan 2, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Jan 2, 20251 then
Employees (5.A)3 as of Mar 31, 2026
Jan 2, 20252 then
Private funds: 7
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $5.3MderivedRAUM 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
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$10.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- R•••• J•••••••• C••••••••• · President, Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- R•••• J•••••••• C••••••••• · Owner, Shareholder, Presidentcontrolsince 10/2024 · owns 75% or more of H••••••• H•••••••• I•••
Entity owners
- H••••••• H•••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• W••••• P•••••••investment advisernRAUM $868M
Advisers that list H••••••• A•••• M••••••••• L•• as a related person
- 284712 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sherman Oaks, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-01-02, yes on the filing of 2026-03-31peers: asset managers, under $100M (330)
- compensation changedChange between filings · filing Mar 31, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-01-02, no on the filing of 2026-03-31peers: asset managers, under $100M (330)
What changed
consecutive filings, newest first
- Accounts · 0 to 7Jan 2, 2025 to Mar 31, 2026
- Advisory employees · 1 to 2Jan 2, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 7.0Jan 2, 2025 to Mar 31, 2026
- Employees · 2 to 3Jan 2, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 2Jan 2, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 2Jan 2, 2025 to Mar 31, 2026
- Private funds · unset to 7Jan 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $10.7MJan 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 10670012.0Jan 2, 2025 to Mar 31, 2026
- RAUM · $0 to $10.7MJan 2, 2025 to Mar 31, 2026
- Accounts · unset to 0.0Nov 26, 2024 to Jan 2, 2025
- Financial planning clients · unset to Nov 26, 2024 to Jan 2, 2025
- Discretionary RAUM · unset to 0.0Nov 26, 2024 to Jan 2, 2025
- Non-discretionary RAUM · unset to 0.0Nov 26, 2024 to Jan 2, 2025
- RAUM · unset to 0.0Nov 26, 2024 to Jan 2, 2025
Signals
1 dated events
- H••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 26, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/highline-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- highlineam.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (818) 340-0157reportedpublic record, Form ADV, Mar 31, 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
- $5.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026