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•••••• A••••••••• A••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 141491SEC 801-67093IAPD
Legal name H•••••• A••••••••• A••••••• L•
Latest filing Oct 29, 2015
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$2.8B
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
9
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.7B gross assets
History
11 filings and snapshots on the tape
RAUM$2.8B as of Mar 31, 2015
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)9 as of Mar 31, 2015
Apr 1, 20138 then
Private funds1 as of Mar 31, 2015
Mar 30, 20121 then
RAUM +7.2% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 29, 2015; 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
$2.8BderivedRAUM 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
+7.2%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$2.7B, 1 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)
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.7B for 1 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M•••••• · Managing Prinicpalcontrol
        since 08/2006 · owns less than 5%
      • C••••••• J••••• J••••• · Managing Principal, Limited Partnercontrol
        since 08/2006 · owns 10% to 25%
      • G•••••• J•••••• J•••• · Managing Principal, Limited Partnercontrol
        since 08/2006 · owns 10% to 25%
      • G•••••••• A•••• · Chief Financial Officer, Managing Principalcontrol
        since 08/2006 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relations, Managing Principalcontrol
        since 08/2006 · owns less than 5%
      • H••••••••• T•••••• P••• · Chief Operating Officer, Managing Principal, Limited Partnercontrol
        since 08/2006 · owns less than 5%
      • K•••••• K••••• R••• · Managing Principal, Limited Partnercontrol
        since 08/2006 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counsel, Managing Principalcontrol
        since 12/2008 · owns less than 5%
      • M••••• M•••••• K•••• · General Counsel, Managing Principalcontrol
        since 06/2008 · owns less than 5%
      • W••••••• J•••••• P••• · Managing Principal, Chief Investment Officer, Limited Partnercontrol
        since 08/2006 · owns 10% to 25%
      • B••••• J•••• M•••••• · Managing Principalcontrol
        since 12/2012 · owns 25% to 50% of H•••••• M••••••••• P••••••• L•
      Entity owners
      • H•••••• A••••••••• A••••••• G• L•• · General Partner
        direct · owns less than 5%
      • H•••••• H••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • H•••••• S••••••••• A•••• M••••••••• L••• · Limited Partner
        direct · owns 25% to 50%
      • H•••••• M••••••••• H••••••• L• · Member
        indirect · owns 75% or more of H•••••• H••••••• L••
      • H•••••• M••••••••• H••••••• L• · Limited Partner
        indirect · owns 75% or more of H•••••• S••••••••• A•••• M••••••••• L•••
      • H•••••• M••••••••• P••••••• L• · Limited Partner
        indirect · owns 50% to 75% of H•••••• M••••••••• H••••••• L•
      • H•••••• S••••••••• A•••• M••••••••• G• L•• · General Partner
        indirect · owns F of H•••••• S••••••••• Asset Management LP
      • D••• C•••••• P••••••• •• L• · Limited Partner
        indirect · owns 25% to 50% of H•••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• A••••••••• A••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Apr 30, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Apr 30, 2014 to Mar 31, 2015
      • Assets in custody · $2.5B to $2.7B
        Apr 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.6B to $2.8B
        Apr 30, 2014 to Mar 31, 2015
      • RAUM · $2.6B to $2.8B
        Apr 30, 2014 to Mar 31, 2015
      • Legal name · H•••••• A••••••••• A••••••• L••• to H•••••• A••••••••• A••••••• L•
        Mar 31, 2014 to Apr 30, 2014
      • Advisory employees · 8 to 9
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $2.6B to $2.5B
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 8 to 9
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.7B to $2.6B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $2.7B to $2.6B
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 3 to 2
        Jan 2, 2013 to Apr 1, 2013
      • Assets in custody · $0 to $2.6B
        Jan 2, 2013 to Apr 1, 2013
      • Custody of client assets · false to true
        Jan 2, 2013 to Apr 1, 2013
      • Discretionary RAUM · $2.6B to $2.7B
        Jan 2, 2013 to Apr 1, 2013
      • RAUM · $2.6B to $2.7B
        Jan 2, 2013 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Sep 14, 2012 to Dec 21, 2012
      • Employees · unset to 8.0
        Sep 14, 2012 to Dec 21, 2012
      • State-registered IARs · unset to 0.0
        Sep 14, 2012 to Dec 21, 2012
      • Discretionary RAUM · $2.2B to $2.6B
        Sep 14, 2012 to Dec 21, 2012
      • RAUM · $2.2B to $2.6B
        Sep 14, 2012 to Dec 21, 2012
      • Discretionary RAUM · $1.8B to $2.2B
        Mar 30, 2012 to Sep 14, 2012
      • RAUM · $1.8B to $2.2B
        Mar 30, 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