DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 1b 10b

H••••• C•••••• M••••••••• L••

CRD 119278

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6586de3c-2674-3cf0-5999-4a9f650ac532

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Mar 23, 2026
44 observations

Across DFX

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

Independent Sponsorsidentity

H••••• C•••••• M••••••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: mixed wealth managerderivedprivate_client_share=0.45 fund_share=0.31 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $8.7B••• Locked
Discretionary RAUM: $8.7B
Private client RAUM: $3.9Bderived••• Locked
Private client share: 45%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $2.2Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• M• T•••	Chartered Financial Analyst	NEW YORK, NY	4	18	n/a	no
N•••••••• P••••• F••••••••	Chartered Financial Analyst	NEW YORK, NY	4	10

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H••••• I••••• P••• F•••• L•	Other Private Fund	$295M	Mar 23, 2026	356	Mar 30, 2012	reported	021-192516
H••••• Y•••• P•••••••• L•	Other Private Fund	$141M	Mar 23, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••• D••••••• A•••	CHIEF OPERATING OFFICER	A	yes	09/2004	Mar 23, 2026	Mar 23, 2026
L••••••• R•••••• A••••••••	CHIEF FINANCIAL OFFICER	Na	yes	03/2013	Mar 23, 2026	Mar 23, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••• C•••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
H••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$8.7B	$8.3B	4.5%	$6.3B	11.1%	24	22	0	0

Relationships

Advises (2)

→ H••••• Y•••• P•••••••• L•Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ H••••• I••••• P••• F•••• L•Private fundOther Private Fund, IA
Mar 30, 2012 to presentfactForm ADV

Registered with (4)

← D••••• LamAdvisorregistration: current employment
Sep 26, 2022 to presentfactForm ADV
←

Dated events

Occurred
Feb 6, 2019
Control person left
(Nmn) Vivian Pan (Senior Adviser) no longer on Schedule A of H••••• C•••••• M••••••••• L•• (listed 2018-09-11, absent 2019-02-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6586de3c-2674-3cf0-5999-4a9f650ac532
First observed: Mar 30, 2012
Last observed: Mar 23, 2026 6 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.