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•••••• M•••••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 106951SEC 801-10188IAPD
Legal name H••••• C•••••• M••••••••• I•••
Latest filing Aug 14, 2020
First filing on the tape Mar 28, 2012 · 15 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.5B as of Mar 12, 2020
Mar 28, 2012$753M then
HNW client RAUM$1.1B as of Mar 12, 2020
Mar 22, 2018$983M then
State-registered IARs (5.B.3)4 as of Mar 12, 2020
Mar 28, 20120 then
Employees (5.A)17 as of Mar 12, 2020
Mar 7, 201314 then
Private funds: no history
RAUM +13% over the last fiscal year+8.9% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Aug 14, 2020; every figure names its basis
RAUM per advisor
$375MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
86derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$343M, 134 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B71%
  • Corporations and businesses$287M19%
  • Individuals$61.2M4.1%
  • Charitable organizations$50.7M3.4%
  • Pension and profit-sharing plans$33.0M2.2%
Individual clients
146reported
HNW clients
196reported
Pension plan clients
13reported
Charitable clients
n/areported
Accounts
1,308reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$343M for 134 clientsreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••• J••••• D•••• · Evp, Director, Chief Compliance Officercontrol
    since 09/2010 · owns 25% to 50%
  • R•••••••• D••••• A••••• · President And Directorcontrol
    since 09/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list H••••• C•••••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,329 to 1,308
    Nov 8, 2019 to Mar 12, 2020
  • Advisory employees · 8 to 7
    Nov 8, 2019 to Mar 12, 2020
  • Corporate clients · 10 to 15
    Nov 8, 2019 to Mar 12, 2020
  • HNW clients · 167 to 196
    Nov 8, 2019 to Mar 12, 2020
  • Individual clients · 191 to 146
    Nov 8, 2019 to Mar 12, 2020
  • Assets in custody · $291M to $343M
    Nov 8, 2019 to Mar 12, 2020
  • Employees · 16 to 17
    Nov 8, 2019 to Mar 12, 2020
  • State-registered IARs · 5 to 4
    Nov 8, 2019 to Mar 12, 2020
  • Discretionary RAUM · $1.3B to $1.5B
    Nov 8, 2019 to Mar 12, 2020
  • HNW RAUM · $951M to $1.1B
    Nov 8, 2019 to Mar 12, 2020
  • Individual RAUM · $106M to $61.2M
    Nov 8, 2019 to Mar 12, 2020
  • Non-discretionary RAUM · $3.7M to $4.8M
    Nov 8, 2019 to Mar 12, 2020
  • Pension RAUM · $36.1M to $33.0M
    Nov 8, 2019 to Mar 12, 2020
  • RAUM · $1.3B to $1.5B
    Nov 8, 2019 to Mar 12, 2020
  • Accounts · 1,310 to 1,329
    Mar 22, 2018 to Mar 13, 2019
  • Advisory employees · 7 to 8
    Mar 22, 2018 to Mar 13, 2019
  • HNW clients · 202 to 167
    Mar 22, 2018 to Mar 13, 2019
  • Individual clients · 157 to 191
    Mar 22, 2018 to Mar 13, 2019
  • Pension plan clients · 11 to 13
    Mar 22, 2018 to Mar 13, 2019
  • Assets in custody · $56.6M to $291M
    Mar 22, 2018 to Mar 13, 2019
  • Employees · 15 to 16
    Mar 22, 2018 to Mar 13, 2019
  • Discretionary RAUM · $1.3B to $1.3B
    Mar 22, 2018 to Mar 13, 2019
  • HNW RAUM · $983M to $951M
    Mar 22, 2018 to Mar 13, 2019
  • Individual RAUM · $67.7M to $106M
    Mar 22, 2018 to Mar 13, 2019
  • Non-discretionary RAUM · $3.9M to $3.7M
    Mar 22, 2018 to Mar 13, 2019
  • Pension RAUM · $26.4M to $36.1M
    Mar 22, 2018 to Mar 13, 2019
  • RAUM · $1.3B to $1.3B
    Mar 22, 2018 to Mar 13, 2019
  • Accounts · 1,263 to 1,310
    Sep 29, 2017 to Mar 22, 2018
  • Corporate clients · unset to 10.0
    Sep 29, 2017 to Mar 22, 2018
  • HNW clients · unset to 202.0
    Sep 29, 2017 to Mar 22, 2018
  • Individual clients · unset to 157.0
    Sep 29, 2017 to Mar 22, 2018
  • Pension plan clients · unset to 11.0
    Sep 29, 2017 to Mar 22, 2018
  • Assets in custody · unset to 56621122.0
    Sep 29, 2017 to Mar 22, 2018
  • Custody of client assets · false to true
    Sep 29, 2017 to Mar 22, 2018
  • Other offices · unset to 1.0
    Sep 29, 2017 to Mar 22, 2018
  • Discretionary RAUM · $1.1B to $1.3B
    Sep 29, 2017 to Mar 22, 2018
  • HNW RAUM · unset to 983111345.0
    Sep 29, 2017 to Mar 22, 2018
  • Individual RAUM · unset to 67727868.0
    Sep 29, 2017 to Mar 22, 2018
  • Non-discretionary RAUM · $14.7M to $3.9M
    Sep 29, 2017 to Mar 22, 2018
  • Pension RAUM · unset to 26356541.0
    Sep 29, 2017 to Mar 22, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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