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••••••

Former SEC-registered adviserNew York, New YorkCRD 120418SEC 801-61093IAPD
Legal name H•••••••• C•••••• L••
Latest filing Mar 30, 2017
First filing on the tape Feb 10, 2012 · 14 filings
RAUM
$1.9B
reported, Item 5.F
Discretionary
85%
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
24
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.7M gross assets
History
14 filings and snapshots on the tape
RAUM$1.9B as of Mar 30, 2017
Feb 10, 2012$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 30, 2017
Mar 28, 20135 then
Employees (5.A)24 as of Mar 30, 2017
Mar 28, 201338 then
Private funds1 as of Mar 30, 2017
Feb 10, 20121 then
RAUM -4.3% over the last fiscal year-7.5% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$375MderivedRAUM 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
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.8derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-4.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$1.3B, 89 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
700reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 89 clientsreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• D••••• M•••••• · Chief Operating Officercontrol
        since 06/2015 · owns less than 5%
      • H•••••• M••••••• D•••• · President & Ceocontrol
        since 06/2015 · owns less than 5%
      • R•••••• B••••• D•••• · Chief Compliance Officer & General Counselcontrol
        since 01/2016 · owns less than 5%
      Entity owners
      • B•••• A••••••• M••••••••• L•• · Holding Company And Managing Member
        direct · owns 75% or more
      • B•••• A••••••• G•••• H••••••• L•• · Holding Company
        indirect · owns 25% to 50% of B•••• A••••••• Management, LLC
      • B•••• A••••••• I••••••••• · Unit Holder And Managing Member
        indirect · owns F of B•••• A••••••• Management, LLC
      Related persons
      Schedule D 7.A
      Advisers that list H•••••••• C•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Accounts · 685 to 700
        Oct 21, 2016 to Mar 30, 2017
      • Advisory employees · 14 to 12
        Oct 21, 2016 to Mar 30, 2017
      • Assets in custody · $1.3B to $1.3B
        Oct 21, 2016 to Mar 30, 2017
      • Employees · 28 to 24
        Oct 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.7B to $1.6B
        Oct 21, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $248M to $277M
        Oct 21, 2016 to Mar 30, 2017
      • RAUM · $2.0B to $1.9B
        Oct 21, 2016 to Mar 30, 2017
      • Accounts · 377 to 685
        Dec 21, 2015 to Jan 29, 2016
      • Advisory employees · 22 to 14
        Dec 21, 2015 to Jan 29, 2016
      • Assets in custody · $1.3B to $1.3B
        Dec 21, 2015 to Jan 29, 2016
      • Employees · 33 to 28
        Dec 21, 2015 to Jan 29, 2016
      • Discretionary RAUM · $1.8B to $1.7B
        Dec 21, 2015 to Jan 29, 2016
      • Non-discretionary RAUM · $367M to $248M
        Dec 21, 2015 to Jan 29, 2016
      • RAUM · $2.2B to $2.0B
        Dec 21, 2015 to Jan 29, 2016
      • Related adviser · false to true
        Mar 27, 2015 to Jul 10, 2015
      • Related bank · false to true
        Mar 27, 2015 to Jul 10, 2015
      • Related broker-dealer · false to true
        Mar 27, 2015 to Jul 10, 2015
      • Accounts · 431 to 377
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 21 to 22
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · $1.9M to $1.3B
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 35 to 33
        Mar 31, 2014 to Mar 27, 2015
      • State-registered IARs · 4 to 5
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $2.0B to $1.8B
        Mar 31, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $376M to $367M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $2.4B to $2.2B
        Mar 31, 2014 to Mar 27, 2015
      • Related adviser · true to false
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 442 to 431
        Feb 13, 2014 to Mar 31, 2014
      • Assets in custody · $2.8M to $1.9M
        Feb 13, 2014 to Mar 31, 2014
      • Employees · 38 to 35
        Feb 13, 2014 to Mar 31, 2014
      • State-registered IARs · 5 to 4
        Feb 13, 2014 to Mar 31, 2014
      • Discretionary RAUM · $1.8B to $2.0B
        Feb 13, 2014 to Mar 31, 2014
      • Non-discretionary RAUM · $370M to $376M
        Feb 13, 2014 to Mar 31, 2014
      • RAUM · $2.2B to $2.4B
        Feb 13, 2014 to Mar 31, 2014
      • Accounts · 100 to 442
        Jul 31, 2012 to Mar 28, 2013
      • Advisory employees · unset to 21.0
        Jul 31, 2012 to Mar 28, 2013
      • Assets in custody · $6.2M to $2.8M
        Jul 31, 2012 to Mar 28, 2013
      • Employees · unset to 38.0
        Jul 31, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 5.0
        Jul 31, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.5B to $1.8B
        Jul 31, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $443M to $370M
        Jul 31, 2012 to Mar 28, 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