DFX Intelligence

H•••••• L••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

H•••••• L••• M••••••••• L••

CRD 165845

NEW YORK, NY

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Search this name across graphsid dfx:ria:0ae21749-2383-145e-3643-b5c6c7c2114d

Data as of Nov 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 1
On other graphs: 1
Observed: Dec 21, 2012 to Nov 24, 2015
22 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

H•••••• L••• M••••••••• L••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.3B••• Locked
Discretionary RAUM: $7.3B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H•••••• S••••••••• A•••• M••••••••• E••••••• L••• S••••••••• U•••••••• C•• 2••••• B•••	Securitized Asset Fund	$507M	Feb 26, 2015	0	Mar 30, 2012	reported	n/a
H•••••• S••••••••• A•••• M••••••••• L••• S••••••••• U•••••••• 2••••• L•••	Securitized Asset Fund

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• J•••• M••••••	Chairman	Na	yes	12/2009	Dec 21, 2012	Nov 24, 2015
B••••• J•••• M••••••	MANAGING PRINCIPAL	C	yes	12/2012	Dec 21, 2012	Nov 24, 2015

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••••• L••• I•••••••• L•••	n/a	Former SEC adviser	$4.9B	Y	yes	n/a
H•••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$3.7B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$7.3B	$7.5B	-3.0%	n/a	n/a	28	28	n/a	n/a

Relationships

Affiliated with (12)

← H•••••• E••••••••• M••••••••• L•Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← H•••••• L••••••••• M••••••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ H•••••• E••••••••• M••••••••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
→ H•••••• S••••••••• A•••• M••••••••• L•••Registered adviser

Dated events

Occurred
Dec 21, 2012
First Form ADV filing
H•••••• L••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ae21749-2383-145e-3643-b5c6c7c2114d
First observed: Dec 21, 2012
Last observed: Nov 24, 2015 131 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Controls (13)

← K•••••• K••••• R•••OwnerVICE CHAIRMAN, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← H••••••••• T•••••• P•••OwnerCHIEF OPERATING OFFICER, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← B••••• J•••• M••••••OwnerMANAGING PRINCIPAL, ownership code C, individual
Dec 21, 2012 to presentfactForm ADV
← G•••••••• A••••OwnerCHIEF FINANCIAL OFFICER, VICE PRESIDENT, TREASURER, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← S••••• B••••• R•••OwnerCHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← Y••••• B••••• T•••••OwnerPORTFOLIO MANAGER, HEAD TRADER, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← M••••• M•••••• K••••OwnerGENERAL COUNSEL, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← M••••••••• S••••••OwnerCHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← S•••••• D••••• N•••OwnerPORTFOLIO MANAGER, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← H•••• J•••••• W•••OwnerDIRECTOR OF CLIENT RELATIONS, MANAGING PRINCIPAL, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV
← H•••••• M••••••••• H••••••• G• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 25, 2013 to presentfactForm ADV
← H•••••• M••••••••• H••••••• L•OwnerMEMBER, ownership code E, domestic entity
Dec 21, 2012 to presentfactForm ADV
← H•••••• M••••••••• P••••••• L•OwnerL•••••• PARTNER, ownership code E, domestic entity
Dec 21, 2012 to presentfactForm ADV