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•••••• E••••••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 106957SEC 801-53336IAPD
Latest filing Feb 26, 2016
First filing on the tape Apr 2, 2012 · 20 filings
RAUM
$3.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
67
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
12
$3.6B gross assets
History
20 filings and snapshots on the tape
RAUM$3.7B as of Mar 31, 2015
Apr 2, 2012$770M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)67 as of Mar 31, 2015
Apr 1, 201365 then
Private funds10 as of Mar 31, 2015
Apr 2, 20126 then
RAUM -7.1% over the last fiscal year+68% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2016; 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
unknownderivedHNW RAUM over HNW clients
Average account
$216MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.1%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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.0B, 10 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 10 clientsreported
Compensation
% of AUM, 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• M••••• F••• L•••Hedge Fund$1.9B440Mar 30, 2012
      H•••••• M•• 1• L••no longer reportedHedge Fund$107M8Mar 30, 2012
      H•••••• E••• P••••••• L•no longer reportedHedge Fund$64.9M1Apr 1, 2013
      L••••••••• F••• L••••••no longer reportedHedge Fund$10.8M0Mar 30, 2012
      I••••••••• B•••••••• M••••• F••• L••••••• A••••• I• R•••••• O• I••• E•••• D••••• M••••••••• S•••••no longer reportedHedge Fund$1.9M1Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M•••••• · Chairman, Chief Investment Officer, Managing Principalcontrol
        since 01/1996 · owns less than 5%
      • D•••••• J••••• O• · Portfolio Manager, Managing Principalcontrol
        since 01/2014 · owns less than 5%
      • G•••••••• A•••• · Chief Financial Officer, Managing Principalcontrol
        since 05/2006 · owns less than 5%
      • G•••••• J•••• W••••• · Portfolio Manager, Managing Principalcontrol
        since 01/2014 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relations, Managing Principalcontrol
        since 08/2006 · owns less than 5%
      • H••••••••• T•••••• P••• · Chief Operating Officer, Managing Principalcontrol
        since 01/2006 · owns less than 5%
      • K•••••• K••••• R••• · Vice Chairman, Portfolio Manager, Managing Principalcontrol
        since 01/1996 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counsel, Managing Principalcontrol
        since 12/2008 · owns less than 5%
      • M•••••• D•••••• M•••••• · Portfolio Managercontrol
        since 06/2015 · owns less than 5%
      • M••••• M•••••• K•••• · General Counsel, Managing Principalcontrol
        since 12/2008 · owns less than 5%
      • B••••• J•••• M•••••• · Managing Principalcontrol
        since 12/2012 · owns 25% to 50% of H•••••• M••••••••• P••••••• L•
      Entity owners
      • H•••••• M••••••••• P••••••• L• · Member
        direct · owns 75% or more
      • H•••••• M••••••••• P••••••• G• L•• · General Partner
        indirect · owns F of H•••••• M••••••••• P••••••• L•
      • D••• C•••••• P••••••• •• L• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• E••••••••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · H•••••• A•••• M••••••••• L•• to H•••••• E••••••••• M••••••••• L•
        Jan 20, 2016 to Feb 26, 2016
      • Legal name · H•••••• A•••• M••••••••• L•• to H•••••• E••••••••• M••••••••• L•
        Jan 20, 2016 to Feb 26, 2016
      • Private funds · 11 to 12
        Jan 20, 2016 to Feb 26, 2016
      • Organization form · Limited Liability Company to Limited Partnership
        Aug 26, 2015 to Jan 20, 2016
      • Private funds · 10 to 11
        Mar 31, 2015 to Jul 31, 2015
      • Advisory employees · 19 to 24
        Aug 27, 2014 to Mar 31, 2015
      • Assets in custody · $2.1B to $2.0B
        Aug 27, 2014 to Mar 31, 2015
      • Employees · 58 to 67
        Aug 27, 2014 to Mar 31, 2015
      • Private funds · 11 to 10
        Aug 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $4.0B to $3.7B
        Aug 27, 2014 to Mar 31, 2015
      • RAUM · $4.0B to $3.7B
        Aug 27, 2014 to Mar 31, 2015
      • Private funds · 10 to 11
        Apr 30, 2014 to Aug 27, 2014
      • Advisory employees · 25 to 19
        Feb 14, 2014 to Mar 31, 2014
      • Advisory activities · 3 to 1
        Feb 14, 2014 to Mar 31, 2014
      • Assets in custody · $2.1B to $2.1B
        Feb 14, 2014 to Mar 31, 2014
      • Employees · 65 to 58
        Feb 14, 2014 to Mar 31, 2014
      • Discretionary RAUM · $4.0B to $4.0B
        Feb 14, 2014 to Mar 31, 2014
      • RAUM · $4.0B to $4.0B
        Feb 14, 2014 to Mar 31, 2014
      • Accounts · 18 to 17
        Jan 15, 2014 to Feb 14, 2014
      • Assets in custody · $2.1B to $2.1B
        Jan 15, 2014 to Feb 14, 2014
      • Private funds · 11 to 10
        Jan 15, 2014 to Feb 14, 2014
      • Discretionary RAUM · $3.9B to $4.0B
        Jan 15, 2014 to Feb 14, 2014
      • Non-discretionary RAUM · $64.9M to $0
        Jan 15, 2014 to Feb 14, 2014
      • RAUM · $4.0B to $4.0B
        Jan 15, 2014 to Feb 14, 2014
      • Accounts · 16 to 18
        Nov 26, 2013 to Jan 15, 2014
      • Assets in custody · $1.9B to $2.1B
        Nov 26, 2013 to Jan 15, 2014
      • Private funds · 10 to 11
        Nov 26, 2013 to Jan 15, 2014
      • Discretionary RAUM · $3.1B to $3.9B
        Nov 26, 2013 to Jan 15, 2014
      • Non-discretionary RAUM · $50.0M to $64.9M
        Nov 26, 2013 to Jan 15, 2014
      • RAUM · $3.2B to $4.0B
        Nov 26, 2013 to Jan 15, 2014
      • Private funds · 9 to 10
        May 10, 2013 to Nov 26, 2013
      • Accounts · 15 to 16
        Feb 4, 2013 to Apr 1, 2013
      • Advisory employees · 26 to 25
        Feb 4, 2013 to Apr 1, 2013
      • Assets in custody · $0 to $1.9B
        Feb 4, 2013 to Apr 1, 2013
      • Custody of client assets · false to true
        Feb 4, 2013 to Apr 1, 2013
      • Employees · 64 to 65
        Feb 4, 2013 to Apr 1, 2013
      • Private funds · 8 to 9
        Feb 4, 2013 to Apr 1, 2013
      • Discretionary RAUM · $3.2B to $3.1B
        Feb 4, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $0 to $50.0M
        Feb 4, 2013 to Apr 1, 2013
      • RAUM · $3.2B to $3.2B
        Feb 4, 2013 to Apr 1, 2013
      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