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.
SEC-registered adviser
Hilton Capital Management, LLC
Latest filing Jun 3, 2026
First filing on the tape Mar 27, 2012 · 41 filings
SEC status approved since Jan 2, 2002
RAUM
$3.2B
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
22%
$704M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$452M
derived; firm RAUM over IAPD count
Employees
27
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$3.2B as of Jun 3, 2026
Mar 27, 2012$438M then
HNW client RAUM$305M as of Jun 3, 2026
Mar 30, 2018$458M then
State-registered IARs (5.B.3)8 as of Jun 3, 2026
Mar 27, 20120 then
Employees (5.A)27 as of Jun 3, 2026
Apr 1, 201310 then
Private funds2 as of Mar 29, 2017
Mar 27, 20122 then
RAUM +7.9% over the last fiscal year+11% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
- RAUM per advisor
- $452MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 47%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.9derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$516M29%
- Individuals$399M22%
- Investment companies$374M21%
- High-net-worth individuals$305M17%
- Corporations and businesses$181M10%
- Pension and profit-sharing plans$8.0M0.5%
- Individual clients
- 1,384reported
- HNW clients
- 153reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 1,647reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $433M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.22 fund_share=0.12 institutional_share=0.17 related_bd=false related_bank=true bd_reps=11.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Thomas Barry Maher | Garden City, Ny | Jan 29, 2019 | 23 y | 1 |
| Barbara Laudisi Martens | Garden City, Ny | May 30, 2019 | 26 y | 1 |
| Alexander David OxenhamChartered Financial Analyst | Garden City, Ny | Jul 18, 2019 | 15 y | 1 |
| Timothy Reilly | Garden City, Ny | Jul 13, 2021 | 31 y | 1 |
| William James Garvey | Garden City, Ny | Jul 13, 2021 | 33 y | 0 |
| Kevin Anthony Mccarthy | Garden City, Ny | Jul 13, 2021 | 28 y | 0 |
| Christopher Craig O'Neill | Garden City, Ny | Sep 14, 2021 | 21 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount2 left over 36 months
Left, latest
- Patrick Vincent Carroll to Principal Asset ManagementApr 30, 2026 · Other
- Hugh S Ansty to Northern Trust Investments, IncorporatedNov 14, 2024 · Other
- Katherine Jeanette Cathcart to Cetera Investment Advisers LLCJul 15, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Hugh S Ansty from Blackrock Investment Management, LLCApr 20, 2022 · Other
- Patrick Vincent Carroll from John Hancock Investment Management LLCApr 13, 2022 · Other
- Timothy Reilly from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 13, 2021 · Wirehouse to independent RIA
- Thomas Barry Maher from Lord, Abbett & Co. LLCJan 29, 2019 · Other
- Katherine Jeanette Cathcart from Logan Capital Management, Inc.Sep 5, 2018 · RIA to RIA
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Tullamore Capital LPno longer reported | Hedge Fund | $17.0M | 10 | Mar 30, 2015 |
| Hilton Capital Fund Spcno longer reported | Hedge Fund | $703,408 | 30 | Apr 1, 2013 |
| Hilton Capital Master Fund, Ltdno longer reported | Hedge Fund | $532,860 | 32 | Mar 27, 2012 |
| Hilton Capital Partners, LPno longer reported | Hedge Fund | $276,135 | 9 | Apr 1, 2013 |
| Hilton Capital Management Private Equity I, LLCno longer reported | Private Equity Fund | $205,689 | 27 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- James William Garvey · Co- Chief Investment Officercontrolsince 12/2001 · owns less than 5%
- Laudisi Barbara Martens · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- Craig Christopher O'Neill · Executive Chairmancontrolsince 04/2026 · owns less than 5%
- William Timothy Reilly · Presidentcontrolsince 03/2020 · owns less than 5%
- K Jeffrey Seeley · Chief Executive Officercontrolsince 04/2026 · owns less than 5%
- Paul Joseph Cipolla · Officercontrolsince 01/2019 · owns F of Rafferty Servicing Inc
- Freeman Ann Keitner · Chief Compliance Officersince 12/2024 · owns less than 5%
- David Alexander Oxenham · Chief Investment Officersince 03/2018 · owns less than 5%
- Rafferty Kathleen Hay · Membersince 12/2001 · owns 25% to 50% of Rafferty Holdings, LLC
Entity owners
- Rafferty Holdings, LLC · Memberdirect · owns 75% or more
- Rafferty Servicing Inc · Non-Member Managerindirect · owns F of Rafferty Holdings, LLC
Related persons
Schedule D 7.A
- Rafferty Asset Management, LLCinvestment adviserbanknRAUM $55B
Advisers that list Hilton Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 7 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Jupiter, FL1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 3, 2026Seeley, Jeffrey, K (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-12-02 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 3, 2026GARVEY, WILLIAM, JAMES (CO- CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-12-02 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 3, 2026CIPOLLA, JOSEPH, PAUL (OFFICER) left Schedule A between the filings of 2024-12-02 and 2026-06-03peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 1,288 to 1,647Jun 11, 2025 to Mar 30, 2026
- Advisory employees · 7 to 6Jun 11, 2025 to Mar 30, 2026
- Corporate clients · 43 to 45Jun 11, 2025 to Mar 30, 2026
- HNW clients · 215 to 153Jun 11, 2025 to Mar 30, 2026
- Individual clients · 1,272 to 1,384Jun 11, 2025 to Mar 30, 2026
- Pension plan clients · 9 to 19Jun 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.5BJun 11, 2025 to Mar 30, 2026
- HNW RAUM · $329M to $305MJun 11, 2025 to Mar 30, 2026
- Individual RAUM · $262M to $399MJun 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.6B to $1.7BJun 11, 2025 to Mar 30, 2026
- Pension RAUM · $7.4M to $8.0MJun 11, 2025 to Mar 30, 2026
- RAUM · $2.9B to $3.2BJun 11, 2025 to Mar 30, 2026
- Wrap assets (manager) · $307M to $433MJun 11, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 29, 2025 to Jun 11, 2025
- Accounts · 1,562 to 1,288Jan 16, 2025 to Mar 29, 2025
- Advisory employees · 6 to 7Jan 16, 2025 to Mar 29, 2025
- BD registered reps · 10 to 11Jan 16, 2025 to Mar 29, 2025
- Corporate clients · 38 to 43Jan 16, 2025 to Mar 29, 2025
- HNW clients · 127 to 215Jan 16, 2025 to Mar 29, 2025
- Individual clients · 1,351 to 1,272Jan 16, 2025 to Mar 29, 2025
- Pension plan clients · 11 to 9Jan 16, 2025 to Mar 29, 2025
- Employees · 24 to 27Jan 16, 2025 to Mar 29, 2025
- Financial planning clients · 0 to unsetJan 16, 2025 to Mar 29, 2025
- State-registered IARs · 10 to 8Jan 16, 2025 to Mar 29, 2025
- Discretionary RAUM · $1.2B to $1.3BJan 16, 2025 to Mar 29, 2025
- HNW RAUM · $228M to $329MJan 16, 2025 to Mar 29, 2025
- Individual RAUM · $368M to $262MJan 16, 2025 to Mar 29, 2025
- Non-discretionary RAUM · $1.2B to $1.6BJan 16, 2025 to Mar 29, 2025
- Pension RAUM · $10.4M to $7.4MJan 16, 2025 to Mar 29, 2025
- RAUM · $2.4B to $2.9BJan 16, 2025 to Mar 29, 2025
- Wrap assets (manager) · $362M to $307MJan 16, 2025 to Mar 29, 2025
- Accounts · 1,762 to 1,562Nov 20, 2023 to Mar 29, 2024
- Corporate clients · 51 to 38Nov 20, 2023 to Mar 29, 2024
- HNW clients · 138 to 127Nov 20, 2023 to Mar 29, 2024
- Individual clients · 1,447 to 1,351Nov 20, 2023 to Mar 29, 2024
- Pension plan clients · 10 to 11Nov 20, 2023 to Mar 29, 2024
- Employees · 25 to 24Nov 20, 2023 to Mar 29, 2024
- State-registered IARs · 9 to 10Nov 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.1B to $1.2BNov 20, 2023 to Mar 29, 2024
- HNW RAUM · $309M to $228MNov 20, 2023 to Mar 29, 2024
Signals
11 dated events
- Patrick Vincent Carroll left Hilton Capital Management, Llc for Principal Asset Management (registered 2026-06-23)Apr 30, 2026 · Advisor changed firm · fact
- Scott Lance Friedler (Chief Compliance Officer) no longer on Schedule A of Hilton Capital Management, Llc (listed 2024-03-29, absent 2024-12-02)Dec 2, 2024 · Control person left · inference
- Hugh S Ansty left Hilton Capital Management, Llc for Northern Trust Investments, Incorporated (registered 2024-06-25)Nov 14, 2024 · Advisor changed firm · fact
- Scott Lance Friedler (Chief Compliance Officer) appeared on Schedule A of Hilton Capital Management, LlcOct 24, 2022 · Control person joined · fact
- Katherine Jeanette Cathcart left Hilton Capital Management, Llc for Cetera Investment Advisers Llc (registered 2023-04-25)Jul 15, 2022 · Advisor changed firm · fact
- Hilton Capital Management, Llc reported RAUM $2.4B, up 30% from $1.9B (2021-03-30 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- William Timothy Reilly (President) appeared on Schedule A of Hilton Capital Management, LlcMar 30, 2021 · Control person joined · fact
- Hilton Capital Management, Llc reported RAUM $2.1B, up 35% from $1.6B (2019-10-22 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Paul Joseph Cipolla (Officer) appeared on Schedule A of Hilton Capital Management, LlcOct 22, 2019 · Control person joined · fact
- Colin Lawrence Rafferty (Member) no longer on Schedule A of Hilton Capital Management, Llc (listed 2019-10-01, absent 2019-10-22)Oct 22, 2019 · Control person left · inference
- Hilton Capital Management, Llc reported RAUM $1.3B, up 29% from $990.9M (2017-08-09 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Hilton Capital Management, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@hiltoncm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-693-5380reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/hilton-capital-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HILTONCM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 516-693-5380reportedpublic record, Form ADV, Jun 3, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $452Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026