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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Former SEC-registered adviser

H••• C•••••• P••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 106759SEC 801-49751websiteIAPD
Latest filing Jan 10, 2025
First filing on the tape Mar 30, 2012 · 41 filings
SEC status approved since Jul 28, 1995
RAUM
$50B
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
66%
$33B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
175
29 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
58
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$50B as of Jan 10, 2025
Mar 30, 2012$22B then
HNW client RAUM$33B as of Jan 10, 2025
Mar 29, 2018$26B then
State-registered IARs (5.B.3)0 as of Jan 10, 2025
Mar 30, 20120 then
Employees (5.A)175 as of Jan 10, 2025
Mar 28, 2013128 then
Private funds58 as of Jan 10, 2025
Mar 30, 201248 then
RAUM +0.0% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 10, 2025; 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
$304MderivedHNW RAUM over HNW clients
Average account
$270MderivedRAUM over accounts (5.F.2.f)
Discretionary
48%derivedof RAUM
Institutional
10.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$5.8B, 12 clientsreportedItem 9.A
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$33B66%
  • Pooled investment vehicles$11B22%
  • Charitable organizations$4.1B8.1%
  • Pension and profit-sharing plans$927M1.8%
  • Other investment advisers$599M1.2%
Individual clients
n/areported
HNW clients
110reported
Pension plan clients
n/areported
Charitable clients
14reported
Accounts
186reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$5.8B for 12 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      93 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E• I••••••••• F•••• L•••Other Private Fund$1.7B5Mar 30, 2015
      A••• L•Other Private Fund$1.1B4Apr 26, 2013
      A•••• L•Private Equity Fund$1.1B2Mar 24, 2017
      A•••• L•Private Equity Fund$1.1B2Mar 24, 2017
      A•••• L••Private Equity Fund$1.0B15Mar 26, 2024
      A•••• L•Private Equity Fund$875M2Mar 24, 2017
      H•• A••••••• R••••• F•••• L•••no longer reportedOther Private Fund$758M223Mar 30, 2012
      H•• A••••••• R••••• F••• O••••••• F•••••• L•••no longer reportedOther Private Fund$541M99Mar 30, 2012
      H•• C•••• C•••••• A••••••••• F•••• L•••Other Private Fund$362M128Mar 28, 2014
      A•••• L••Other Private Fund$341M3Mar 26, 2024
      H•• P•••••• E••••• F••• X•• L•••Private Equity Fund$327M148Mar 30, 2023
      H•• P•••••• E••••• F••• X• L•••Private Equity Fund$291M126Mar 30, 2022
      H•• P•••••• E••••• F••• V•••• L•••Private Equity Fund$291M91Mar 29, 2018
      H•• P•••••• E••••• F••• I•• L•••Private Equity Fund$279M103Mar 27, 2020
      H•• G••••• I••••••••• F•••• L•••Hedge Fund$273M52Mar 30, 2012
      H•• P•••••• E••••• F••• V••• L•••Private Equity Fund$187M74Mar 30, 2015
      H•• G••••• I••••••••• F•••••• L•••Hedge Fund$164M7Mar 30, 2012
      H•• S•••••• O••••••••• F•••• L•••no longer reportedOther Private Fund$128M69Mar 30, 2012
      H•• A••••••• R••••• F••• M••••• F•••••• L••Other Private Fund$120M67Mar 30, 2012
      H•• E•••• S•••• V•••••• F•••• L••• • S••••• 3•Private Equity Fund$113M54Mar 30, 2022
      H•• S•••••• O••••••••• M••••• F•••• L••Other Private Fund$111M89Mar 30, 2012
      H•• P•••••• E••••• F••• V•• L•••Private Equity Fund$98.2M61Mar 28, 2013
      H•• A••••••• R••••• F••• A•• L•••no longer reportedOther Private Fund$86.3M41Mar 30, 2012
      H•• R••• E••••• F••• I••• L•••Real Estate Fund$78.8M35Mar 27, 2020
      H•• E•••• S•••• V•••••• F•••• L••• • S••••• 1•Private Equity Fund$71.5M32Mar 28, 2019
      H•• E•••• S•••• V•••••• F•••• L••• • S••••• 2•Private Equity Fund$70.4M38Mar 27, 2020
      H•• R••• E••••• F••• I•• L•••Real Estate Fund$67.2M42Mar 29, 2018
      H•• R••• E••••• F••• I•• L•••Real Estate Fund$63.9M26Mar 30, 2023
      H•• P•••••• E••••• F••• V•••••• L•••Private Equity Fund$63.8M18Mar 29, 2018
      H•• Q•• V• I••••••••• L•••Private Equity Fund$59.1M24Mar 28, 2019
      H•• A••••••• R••••• F••• O••••••• F••••• A•• L•••no longer reportedOther Private Fund$57.2M21Mar 30, 2012
      H•• P•••••• E••••• F••• V• L•••Private Equity Fund$56.8M57Mar 30, 2012
      H•• A••••••• R••••• F••• M••••• F••••• A•• L••no longer reportedOther Private Fund$55.1M15Mar 30, 2012
      H•• P• I• I••••••••• L•••Private Equity Fund$53.8M35Mar 30, 2022
      H•• A• 2••• I••••••••• L•••Private Equity Fund$53.2M14Mar 30, 2023
      H•• E•••• S•••• V•••••• F•••• L••• • S••••• 4•Private Equity Fund$52.8M12Mar 30, 2023
      H•• F••• C••••••••• I•••••••• F••• I••• L•••Private Equity Fund$52.5M57Mar 30, 2022
      H•• P•••••• E••••• F••• I•••• L•••Private Equity Fund$47.9M18Mar 27, 2020
      H•• F••• C••••••••• I•••••••• F••• I• L•••Private Equity Fund$45.8M34Mar 29, 2018
      H•• C••••• F••• I• L•••Private Equity Fund$44.5M41Mar 30, 2022
      All funds of H••• C•••••• P••••••• L••
      Owners and control persons
      Schedule A and B, latest filing
      • A••• E•••• E••••• · Managing Partner, Co-Chief Investment Officer, Executive Committee Member, Board Membercontrol
        since 01/2008 · owns 5% to 10%
      • B••••••••• J•••• W•••••• · Co-Chair, Executive Committee Member, Board Member, Managing Directorcontrol
        since 02/1998 · owns less than 5%
      • H•••• K••••••• A•• · Founder, Co-Chair, Executive Committee Member, Board Member, Managing Directorcontrol
        since 07/1995 · owns 5% to 10%
      • K••••••• S••••• C•••••• · Managing Partner, Executive Committee Member, Board Member, Member Class Ccontrol
        since 01/2007 · owns 5% to 10%
      • S••••• S••••• E•••••••• · Managing Partner, Executive Committee Member, Board Membercontrol
        since 01/2007 · owns 5% to 10%
      • A••• C••••• · Co-Trusteecontrol
        since 11/2007 · owns F of T•• E••• A•• C••••• A•• R•••••••• T••••
      • A••• E•••• E••••• · Co-Trusteecontrol
        since 11/2007 · owns F of T•• E••• A•• C••••• A•• R•••••••• T••••
      • B•••••• M••••••• R••• · Managing Membercontrol
        since 07/2007 · owns F of F••• • P•••• I•••••••• L••
      • B••••••••• J•••• W•••••• · Trusteecontrol
        since 11/2011 · owns F of J••• W• B••••••••• R•••••••• T••••
      • C•••• M••••••• A•••• · Co-Trusteecontrol
        since 03/2010 · owns F of T•• S••••••••• F••••• T••••
      • F•••••• J•••• J••••• · M••••••control
        since 01/2018 · owns F of B•• F••• P••••••• L••
      • H•••• K••••••• A•• · Co-Trusteecontrol
        since 07/2006 · owns F of K••••••••• F••••• T••••
      • H••••••• M••••• W••••• · Managing Membercontrol
        since 04/2008 · owns F of H•••••• C••••••••• L••
      • K••••••• T••••• · Co-Trusteecontrol
        since 07/2006 · owns F of K••••••••• F••••• T••••
      • S•••••• T•••••• F••• · M••••••control
        since 07/2007 · owns F of H•• I•••••••• L••
      • A•••••• L••••• T••• · P•••••• Equity Research, Member Class C, Managing Director
        since 01/2019 · owns less than 5%
      • B•••••• M••••••• R••• · Board Member
        since 07/2007 · owns less than 5%
      • B••••••••• K•••• M•••••• · General Counsel, Chief Compliance Officer, Member Class C, Managing Director
        since 07/2021 · owns less than 5%
      • D••••• J••••••• A••••• · Portfolio M••••••, Member Class C, Managing Director
        since 01/2018 · owns less than 5%
      • D••••••••• M••••• W••••• · Equity Strategies, Member Class C, Managing Director
        since 01/2022 · owns less than 5%
      • H••••••• M••••• W••••• · Board Member
        since 01/2015 · owns less than 5%
      • K•••• R•••••• D••••••• · Co-Head Of Portfolio Management, Executive Committee Member, Member Class C, Managing Director
        since 01/2013 · owns 5% to 10%
      • K•••• C••••••• A••••• · Head Of Strategy, Operations And Finance, Member Class C, Managing Director
        since 01/2015 · owns less than 5%
      • L••••• K••••••••• E•••••••• · Portfolio M••••••, Member Class C, Managing Director
        since 01/2015 · owns less than 5%
      • M•••••••• E••••••••• F••••• · P•••••• Equity Research, Member Class C, Managing Director
        since 01/2014 · owns less than 5%
      • M••••• M•••• E••••• · Board Member
        since 07/2007 · owns less than 5%
      • N•••••• V•••• H• · Head Of Pooled Vehicles And I•••••••••S, Member Class C, Managing Director
        since 01/2019 · owns less than 5%
      • P•••••• E•••••• B•••• · Director Of Information Technology, Head Of Operational Due Diligence, Member Class C, Managing Director
        since 01/2013 · owns less than 5%
      • R••••• K•••• D••••• · Co-Head Of Portfolio Management, Executive Committee Member, Member Class C, Managing Director
        since 01/2007 · owns 5% to 10%
      • S•••••• J••••••• R••• · Co-Chief Investment Officer, Executive Committee Member, Member Class C, Managing Director
        since 01/2009 · owns 5% to 10%
      Entity owners
      • F••• • P•••• I•••••••• L•• · Member Class D
        direct · owns 5% to 10%
      • B•• F••• P••••••• L•• · Member Classes A And B
        direct · owns less than 5%
      • H•• I•••••••• L•• · Member Class D
        direct · owns 5% to 10%
      • H•••••• C••••••••• L•• · Member Class B
        direct · owns less than 5%
      • J••• W• B••••••••• R•••••••• T•••• · Member Classes A And C
        direct · owns less than 5%
      • K••••••••• F••••• T•••• · Member Class C
        direct · owns 5% to 10%
      • T•• E••• A•• C••••• A•• R•••••••• T•••• · Member Class C
        direct · owns 5% to 10%
      • T•• S••••••••• F••••• T•••• · Member Class C
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • G•••••••• C•••••• S•••••••• L••
        investment advisernRAUM $7.0B
      • G•••••••• C•••••• S•••••••• U• L••
        investment advisern
      • G•••••••• I••••••••• • E•••••••• M••••••• L•
        investment advisern
      • G•••••••• P•••••••• M••••••• L•
        investment advisern
      • G•••••••• R••• E••••• M••••••• L•
        investment advisern
      • H•• A•• M••••••••• L••
        pooled vehicle sponsory
      • H•• C•• M••••••••• L••
        pooled vehicle sponsory
      • H•• C•••• C•••••• A••••••••• M••••••••• L••
        pooled vehicle sponsory
      • H•• C•••• P• 2••• M••••••••• L••
        pooled vehicle sponsory
      • H•• E•• M••••••••• L••
        pooled vehicle sponsory
      • H•• E•• M••••••••• L••
        pooled vehicle sponsory
      • H•• E•• F••• M••••••••• L••
        pooled vehicle sponsory
      • H•• F•• F••• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• F•• F••• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• F•• F••• I•• M••••••••• L••
        pooled vehicle sponsory
      • H•• G••• L••
        pooled vehicle sponsory
      • H•• P•• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• V• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• V• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• V•• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• V••• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• X• M••••••••• L••
        pooled vehicle sponsory
      • H•• P•• X• M••••••••• L••
        pooled vehicle sponsory
      • H•• R• I•• M••••••••• L••
        pooled vehicle sponsory
      • H•• R• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• R• I•• M••••••••• L••
        pooled vehicle sponsory
      • H•• R• I• M••••••••• L••
        pooled vehicle sponsory
      • H•• R• M••••••••• L••
        pooled vehicle sponsory
      • H•• R••• A••••• F••• I• M••••••••• L••
        pooled vehicle sponsory
      Advisers that list H••• C•••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY9 employees
      What changed
      consecutive filings, newest first
      • Accounts · 187 to 186
        Jun 30, 2023 to Mar 26, 2024
      • Advisory employees · 31 to 29
        Jun 30, 2023 to Mar 26, 2024
      • HNW clients · 113 to 110
        Jun 30, 2023 to Mar 26, 2024
      • Pooled vehicle clients · 56 to 58
        Jun 30, 2023 to Mar 26, 2024
      • Assets in custody · $2.0B to $5.8B
        Jun 30, 2023 to Mar 26, 2024
      • Employees · 203 to 175
        Jun 30, 2023 to Mar 26, 2024
      • Private funds · 56 to 58
        Jun 30, 2023 to Mar 26, 2024
      • Discretionary RAUM · $21B to $24B
        Jun 30, 2023 to Mar 26, 2024
      • HNW RAUM · $32B to $33B
        Jun 30, 2023 to Mar 26, 2024
      • Non-discretionary RAUM · $26B to $26B
        Jun 30, 2023 to Mar 26, 2024
      • Pension RAUM · $872M to $927M
        Jun 30, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · $8.8B to $11B
        Jun 30, 2023 to Mar 26, 2024
      • RAUM · $47B to $50B
        Jun 30, 2023 to Mar 26, 2024
      • Accounts · 185 to 187
        Jul 14, 2022 to Mar 30, 2023
      • Advisory employees · 29 to 31
        Jul 14, 2022 to Mar 30, 2023
      • Charity clients · 15 to 14
        Jul 14, 2022 to Mar 30, 2023
      • HNW clients · 116 to 113
        Jul 14, 2022 to Mar 30, 2023
      • Pension plan clients · 3.0 to unset
        Jul 14, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 50 to 56
        Jul 14, 2022 to Mar 30, 2023
      • Assets in custody · $2.5B to $2.0B
        Jul 14, 2022 to Mar 30, 2023
      • Employees · 189 to 203
        Jul 14, 2022 to Mar 30, 2023
      • Private funds · 50 to 56
        Jul 14, 2022 to Mar 30, 2023
      • Discretionary RAUM · $24B to $21B
        Jul 14, 2022 to Mar 30, 2023
      • HNW RAUM · $39B to $32B
        Jul 14, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $32B to $26B
        Jul 14, 2022 to Mar 30, 2023
      • Pension RAUM · $1.1B to $872M
        Jul 14, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $9.6B to $8.8B
        Jul 14, 2022 to Mar 30, 2023
      • RAUM · $56B to $47B
        Jul 14, 2022 to Mar 30, 2023
      • Accounts · 182 to 185
        Nov 3, 2021 to Mar 30, 2022
      • Advisory employees · 28 to 29
        Nov 3, 2021 to Mar 30, 2022
      • Charity clients · 14 to 15
        Nov 3, 2021 to Mar 30, 2022
      • HNW clients · 114 to 116
        Nov 3, 2021 to Mar 30, 2022
      • Pension plan clients · 4 to 3
        Nov 3, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 49 to 50
        Nov 3, 2021 to Mar 30, 2022
      • Assets in custody · $2.2B to $2.5B
        Nov 3, 2021 to Mar 30, 2022
      • Employees · 172 to 189
        Nov 3, 2021 to Mar 30, 2022
      • Private funds · 49 to 50
        Nov 3, 2021 to Mar 30, 2022
      • Discretionary RAUM · $19B to $24B
        Nov 3, 2021 to Mar 30, 2022
      • HNW RAUM · $35B to $39B
        Nov 3, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $29B to $32B
        Nov 3, 2021 to Mar 30, 2022
      Signals
      2 dated events
      • H••• C•••••• P••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $50.3B)
        May 2, 2025 · Left the SEC roster · derived
      • John Robert Fisher (Trustee) no longer on Schedule A of H••• C•••••• P••••••• L•• (listed 2019-01-28, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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
      Across the graphs

      H••• C•••••• P••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…