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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••• S••••••••• A•••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 133328SEC 801-63640IAPD
Latest filing Dec 17, 2012
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$19.2M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$19.2M gross assets
History
5 filings and snapshots on the tape
RAUM$19.2M as of Dec 17, 2012
Mar 30, 2012$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 17, 2012
Mar 30, 20120 then
Employees (5.A)2 as of Dec 17, 2012
Dec 17, 20122 then
Private funds2 as of Dec 17, 2012
Mar 30, 201213 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 17, 2012; 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
$4.8MderivedRAUM 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
unknownderivedbetween 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)
  • 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
4reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• S••••••••• O••••••••• I••••••••• L•••Hedge Fund$13.2M56Mar 30, 2012
      H•••••• E••••••• S••••••••• O••••••••• I••••••••• L•••Hedge Fund$6.1M16Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M• · Managing Principalcontrol
        since 01/2005 · owns less than 5%
      • D•••••• J••••• O• · Limited Partner, Managing Principalcontrol
        since 01/2008 · owns 10% to 25%
      • G•••••••• A•••• · Chief Financial Officercontrol
        since 05/2006 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relationscontrol
        since 08/2006 · owns less than 5%
      • H••••••••• T•••••• P••• · Managing Principal, Chief Operating Officercontrol
        since 01/2006 · owns less than 5%
      • K•••••• K••••• R••• · Managing Principalcontrol
        since 01/2005 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counselcontrol
        since 12/2008 · owns less than 5%
      • M••••• M••••• · General Counselcontrol
        since 06/2008 · owns less than 5%
      • S••••• R••• · Portfolio Managercontrol
        since 09/2008 · owns less than 5%
      • B••••• J•••• M• · Managing Principalcontrol
        since 01/2005 · owns 25% to 50% of H•••••• H••••••• L••
      • M•••••• S•••••• G••••• · Limited Partner
        since 09/2008 · owns 10% to 25%
      Entity owners
      • H•••••• H••••••• L•• · Limited Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• S••••••••• A•••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Sep 14, 2012 to Dec 17, 2012
      • Advisory employees · unset to 2.0
        Sep 14, 2012 to Dec 17, 2012
      • Advisory activities · 2 to 1
        Sep 14, 2012 to Dec 17, 2012
      • Employees · unset to 2.0
        Sep 14, 2012 to Dec 17, 2012
      • Private funds · 3 to 2
        Sep 14, 2012 to Dec 17, 2012
      • Discretionary RAUM · $415M to $19.2M
        Sep 14, 2012 to Dec 17, 2012
      • RAUM · $415M to $19.2M
        Sep 14, 2012 to Dec 17, 2012
      • Accounts · 15 to 5
        May 16, 2012 to Sep 14, 2012
      • Private funds · 13 to 3
        May 16, 2012 to Sep 14, 2012
      • Discretionary RAUM · $4.9B to $415M
        May 16, 2012 to Sep 14, 2012
      • RAUM · $4.9B to $415M
        May 16, 2012 to Sep 14, 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