DFX Intelligence

H•••• S••••• W••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H•••• S••••• W••••• A•••••••

H••••• CAPITAL MANAGEMENT LLC, CRD 167343

PASADENA, CA

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Search this name across graphsid dfx:ria:913b4593-d56a-d0d9-111a-68bb23e3c65c

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2013 to Mar 29, 2019
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $145M••• Locked
Discretionary RAUM: $126M
Private client RAUM: $123Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• T•••••• W•••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	03/2013	Mar 21, 2013	Mar 29, 2019
B•••••••• G••••••	Owner	D	no	03/2014	Jan 15, 2016	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• A•••• M••••••• L•••••	n/a	Independent wealth	$930M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WOODCLIFF LAKE	Nj	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$145M	$135M	7.2%	$86.0M	19.0%	9	10	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••• A•••• M••••••• L•••••	5	Jan 2, 2020	Jan 5, 2026	PASADENA, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ S••••••• A•••• M••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV

Owns (12)

← T•••••••• H•••••• H•••OwnerMINORITY OWNER, ownership code NA, individual
Mar 22, 2017 to presentfactForm ADV
← M••••••• M••••••• P••••OwnerCLASS A MEMBER, ownership code A, individual
Mar 21, 2013 to presentfactForm ADV
← H•••••• C•••• W••••••OwnerADVISORY BOARD MEMBER AND CLASS B MEMBER, ownership code B, individual

Dated events

Occurred
Mar 21, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:913b4593-d56a-d0d9-111a-68bb23e3c65c
First observed: Mar 21, 2013
Last observed: Mar 29, 2019 91 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.