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•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 139113SEC 801-66085IAPD
Latest filing Mar 28, 2022
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$208M
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$208M gross assets
History
23 filings and snapshots on the tape
RAUM$208M as of Mar 28, 2022
Mar 30, 2012$2.4B then
HNW client RAUM$0 as of Mar 28, 2022
Jan 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 30, 20120 then
Employees (5.A)8 as of Mar 28, 2022
Mar 21, 201330 then
Private funds4 as of Mar 28, 2022
Mar 30, 20126 then
RAUM -41% over the last fiscal year-58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
$29.8MderivedRAUM 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
-41%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
Custody
yesreportedItem 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
  • Pooled investment vehicles$208M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• C•••••• Q•••••••• M•••••• L•••no longer reportedHedge Fund$221M12Feb 25, 2015
      T•••• F•••• L•no longer reportedHedge Fund$133M22Mar 30, 2012
      H••••••• C•••••• P•••••••• L•no longer reportedHedge Fund$96.8M54Mar 30, 2012
      H••••••• C•••••• P••••••• Q•• L•no longer reportedHedge Fund$95.2M11Mar 30, 2012
      H••••••• C•••••• M•••••• L•Hedge Fund$8.5M44Mar 30, 2012
      H•• I••••• L••Other Private Fund$5.1M11Dec 9, 2022
      H••••••• B• M••••• F•••• L••Hedge Fund$2.8M24Mar 30, 2012
      H••••••• A••••••••• H•••••••• L••Private Equity Fund$1.9M4Mar 31, 2021
      H•••••••• A• M••••• F•••• L••no longer reportedHedge Fund$1.5M23Mar 30, 2012
      H•• B•••• L••Other Private Fund$1.0M6Mar 22, 2024
      H••••••• C•••••• Q•••••••• M•••••• L•••no longer reportedHedge Fund$990,2335Jan 30, 2017
      H•• C••• I••• L••Private Equity Fund$734,56937Mar 30, 2020
      H•• S•••••• L••Private Equity Fund$152,78818Mar 31, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• J••••• W••• · Ceo/Partner/Portfolio Managercontrol
        since 06/1995 · owns 75% or more
      • F••••• M•••••• P• · Chief Financial Officercontrol
        since 04/2020 · owns less than 5%
      • S•••••• H•••••• M••• · Chief Operating Officer/Partner/Chief Compliance Officercontrol
        since 05/2006 · owns less than 5%
      • D•••• J••••• W••• · Directorcontrol
        since 01/2016 · owns 75% or more of H••••••• C•••••• G•• I•••
      Entity owners
      • H••••••• C•••••• G•• I••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••••• C•••••• H•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Mar 31, 2021 to Mar 28, 2022
      • Private funds · 5 to 4
        Mar 31, 2021 to Mar 28, 2022
      • Discretionary RAUM · $355M to $208M
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $355M to $208M
        Mar 31, 2021 to Mar 28, 2022
      • RAUM · $355M to $208M
        Mar 31, 2021 to Mar 28, 2022
      • Accounts · 12 to 7
        Oct 30, 2020 to Mar 31, 2021
      • Advisory employees · 4 to 2
        Oct 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 12 to 7
        Oct 30, 2020 to Mar 31, 2021
      • Employees · 11 to 8
        Oct 30, 2020 to Mar 31, 2021
      • Private funds · 6 to 5
        Oct 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $299M to $355M
        Oct 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $299M to $355M
        Oct 30, 2020 to Mar 31, 2021
      • RAUM · $299M to $355M
        Oct 30, 2020 to Mar 31, 2021
      • Advisory employees · 9 to 4
        Aug 4, 2020 to Oct 30, 2020
      • Employees · 19 to 11
        Aug 4, 2020 to Oct 30, 2020
      • Discretionary RAUM · $1.6B to $299M
        Aug 4, 2020 to Oct 30, 2020
      • Pooled vehicle RAUM · $1.6B to $299M
        Aug 4, 2020 to Oct 30, 2020
      • RAUM · $1.6B to $299M
        Aug 4, 2020 to Oct 30, 2020
      • Accounts · 13 to 12
        Jan 8, 2020 to Mar 30, 2020
      • Advisory employees · 12 to 9
        Jan 8, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 13 to 12
        Jan 8, 2020 to Mar 30, 2020
      • Employees · 27 to 19
        Jan 8, 2020 to Mar 30, 2020
      • Private funds · 7 to 6
        Jan 8, 2020 to Mar 30, 2020
      • Discretionary RAUM · $2.9B to $1.6B
        Jan 8, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.9B to $1.6B
        Jan 8, 2020 to Mar 30, 2020
      • RAUM · $2.9B to $1.6B
        Jan 8, 2020 to Mar 30, 2020
      • Related bank · false to true
        Jan 8, 2020 to Mar 30, 2020
      • Advisory employees · 20 to 12
        Jan 30, 2018 to Mar 29, 2019
      • Employees · 35 to 27
        Jan 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $4.9B to $2.9B
        Jan 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $4.9B to $2.9B
        Jan 30, 2018 to Mar 29, 2019
      • RAUM · $4.9B to $2.9B
        Jan 30, 2018 to Mar 29, 2019
      • Advisory employees · 17 to 20
        Jan 30, 2017 to Jan 30, 2018
      • Charity clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Corporate clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • HNW clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Individual clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Pension plan clients · unset to 0.0
        Jan 30, 2017 to Jan 30, 2018
      • Pooled vehicle clients · unset to 13.0
        Jan 30, 2017 to Jan 30, 2018
      • Employees · 32 to 35
        Jan 30, 2017 to Jan 30, 2018
      Signals
      13 dated events
      • H••••••• C•••••• M••••••••• L••• reported RAUM $208.4M, down 41% from $355.0M (2021-03-31 to 2022-03-28)
        Mar 28, 2022 · RAUM change · derived
      • H••••••• C•••••• M••••••••• L••• reported RAUM $298.7M, down 82% from $1.6B (2020-08-04 to 2020-10-30)
        Oct 30, 2020 · RAUM change · derived
      • Peter Joseph Saluti (Director Of Research/Partner) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2020-04-23, absent 2020-07-31)
        Jul 31, 2020 · Control person left · inference
      • Jonathan Goldberg (Senior Analyst/Partner) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2020-04-23, absent 2020-07-31)
        Jul 31, 2020 · Control person left · inference
      • Lawrence Michael Klarman (Chief Financial Officer/Partner/Chief Compliance Officer) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2020-03-30, absent 2020-04-23)
        Apr 23, 2020 · Control person left · inference
      • P Miriam Fried (Chief Financial Officer) appeared on Schedule A of H••••••• C•••••• M••••••••• L•••
        Apr 23, 2020 · Control person joined · fact
      • H••••••• C•••••• M••••••••• L••• reported RAUM $1.6B, down 44% from $2.9B (2020-01-08 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Todd John Carlson (Senior Analyst/Partner) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2019-09-13, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • Perkins Ellen Fitzgibbon (Chief Compliance Officer) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2019-09-13, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • H••••••• C•••••• M••••••••• L••• reported RAUM $2.9B, down 41% from $4.9B (2018-01-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Steven Hoffman (Senior Analyst/Partner) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2018-01-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Nehemiah Joseph Ainsberg (Senior Analyst/Partner) no longer on Schedule A of H••••••• C•••••• M••••••••• L••• (listed 2018-01-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • H••••••• C•••••• M••••••••• L••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 28, 2016 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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