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Former SEC-registered adviser

H••••••• C•••••• M••••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 128338SEC 801-65053IAPD
Latest filing Mar 28, 2013
First filing on the tape Jan 13, 2012 · 4 filings
RAUM
$1.7B
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
18
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$1.7B gross assets
History
4 filings and snapshots on the tape
RAUM$1.7B as of Mar 28, 2013
Jan 13, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2013
Jan 13, 20120 then
Employees (5.A): 18
Private funds4 as of Mar 28, 2013
Jan 13, 20124 then
RAUM -43% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Mar 28, 2013; every figure names its basis
RAUM per advisor
$858MderivedRAUM 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
$343MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-43%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • 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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• O••••••• M•••• L•••Hedge Fund$906M40Jan 13, 2012
      H••••••• C•••••• P•••••••• L•••Hedge Fund$752M32Jan 13, 2012
      H••••••• C•••••• P••••••• I•• L•••Hedge Fund$42.9M14Jan 13, 2012
      H••••••• L••• P••••••••• L•••Hedge Fund$14.6M6Jan 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• A••• V•••••• · Member (H••••••• M••••••••• L••) ("Relying Adviser")control
        since 08/2003 · owns 50% to 75%
      • H•••••• H••••• L•• S•••••• · Limited Partner (H••••••• C•••••• M••••••••• L•••)control
        since 08/2003 · owns less than 5%
      • S••••••• A•••••• E•••• · Sole Shareholder (H••• I•••) ("Relying Adviser")control
        since 04/2004 · owns 75% or more
      • V•••• M•••• S••••• · Chief Financial Officer (H••••••• C•••••• M••••••••• L•••)control
        since 02/2008 · owns less than 5%
      • C••••• C••••••••• P•••••• · Trusteecontrol
        since 12/2002 · owns F of T••••••• D•••••• T••••
      • H•••••• A••• V•••••• · Membercontrol
        since 08/2003 · owns 50% to 75% of H••••••• M••••••••• L••
      • H•••••• A••• V•••••• · General Partner And Limited Partnercontrol
        since 07/2003 · owns 25% to 50% of P•••••• P•••••••• L•••
      • H•••••• A••• V•••••• · General Partner And Limited Partnercontrol
        since 08/2003 · owns 25% to 50% of P••••••• Partners L.P.
      • H•••••• H••••• L•• S•••••• · General Partner And Limited Partnercontrol
        since 07/2003 · owns 25% to 50% of P•••••• P•••••••• L•••
      • H•••••• H••••• L•• S•••••• · General Partner And Limited Partnercontrol
        since 08/2003 · owns 25% to 50% of P••••••• Partners L.P.
      • H•••••• H••••• L•• S•••••• · Manager And Presidentcontrol
        since 08/2003 · owns 50% to 75% of H••••••• M••••••••• L••
      • N••••••• A••••••••• R••••• · Trusteecontrol
        since 12/2008 · owns F of A••••• I••••••••• T••••
      • N••••••• A••••••••• R••••• · Trusteecontrol
        since 12/2008 · owns F of H••••••• I••••••••• T••••
      • S••••••• A•••••• E•••• · Trusteecontrol
        since 06/2008 · owns F of L••••• I••••••••• T••••
      • S••••••• A•••••• E•••• · Trusteecontrol
        since 06/2008 · owns F of G•• I••••••••• T••••
      • T•••••• D••••• R••••••• · Managercontrol
        since 03/2008 · owns 75% or more of B••••••• L••
      • O•••••• J•••••• D•••• · Limited Partner (H••••••• P••••••••• L•••) ("Relying Adviser")
        since 01/2010 · owns 5% to 10%
      Entity owners
      • H••••••• M••••••••• L•• · General Partner (H••••••• P••••••••• L•••) ("Relying Adviser")
        direct · owns less than 5%
      • P•••••• P•••••••• L••• · Limited Partner (H••••••• P••••••••• L•••) ("Relying Adviser")
        direct · owns 50% to 75%
      • P••••••• P•••••••• L••• · Limited Partner (H••••••• C•••••• M••••••••• L•••)
        direct · owns 50% to 75%
      • T••••••• D•••••• T•••• · Limited Partner
        indirect · owns 25% to 50% of P•••••• P•••••••• L•••
      • A••••• I••••••••• T•••• · Limited Partner (H••••• L•••) ("Relying Adviser")
        direct · owns less than 5%
      • B••••••• L•• · Limited Partner (H••••• L•••) ("Relying Adviser")
        direct · owns less than 5%
      • G•• I••••••••• T•••• · Limited Partner (H••••••• P••••••••• L•••) ("Relying Adviser")
        direct · owns 5% to 10%
      • H••••••• I••••••••• T•••• · Limited Partner (H••••• L•••) ("Relying Adviser")
        direct · owns less than 5%
      • L••••• I••••••••• T•••• · Limited Partner (H••••• L•••) ("Relying Adviser")
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • H••••••• M••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • H••••••• P••••••••• L•••
        investment adviserbankpooled vehicle sponsorn
      • H••• I•••
        investment advisern
      • H••••• L•••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 6.0
        Aug 10, 2012 to Mar 28, 2013
      • Assets in custody · 2060413000.0 to unset
        Aug 10, 2012 to Mar 28, 2013
      • Custody of client assets · true to false
        Aug 10, 2012 to Mar 28, 2013
      • Employees · unset to 18.0
        Aug 10, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 2
        Aug 10, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.1B to $1.7B
        Aug 10, 2012 to Mar 28, 2013
      • RAUM · $2.1B to $1.7B
        Aug 10, 2012 to Mar 28, 2013
      • Assets in custody · $3.0B to $2.1B
        Jan 13, 2012 to May 18, 2012
      • Discretionary RAUM · $3.0B to $2.1B
        Jan 13, 2012 to May 18, 2012
      • RAUM · $3.0B to $2.1B
        Jan 13, 2012 to May 18, 2012
      • Related adviser · false to true
        Jan 13, 2012 to May 18, 2012
      • Related bank · false to true
        Jan 13, 2012 to May 18, 2012
      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