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•••• M••••••••• L••

Former SEC-registered adviserBerkeley Heights, New JerseyCRD 143062SEC 801-74218IAPD
Latest filing Mar 31, 2022
First filing on the tape Feb 15, 2012 · 12 filings
RAUM
$1.0B
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$823M gross assets
History
12 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2022
Mar 27, 2013$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20130 then
Employees (5.A)9 as of Mar 31, 2022
Mar 27, 201311 then
Private funds5 as of Mar 31, 2022
Mar 27, 20138 then
RAUM -30% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$129MderivedRAUM 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
-30%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 individuals, portfolio management for businesses and institutions, 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
  • Pooled investment vehicles$823M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
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
Every departureEvery arrival
Private funds
7 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
H•• A•••• M•••••• L•••Hedge Fund$273M27Feb 15, 2012
T•••• P•••••••• L•••Hedge Fund$266M66Feb 15, 2012
N••••Hedge Fund$162M29Feb 15, 2012
J••••••Hedge Fund$66.4M29Feb 15, 2012
H•• T•••• O••••••• M•••••• L•••Hedge Fund$55.8M11Feb 15, 2012
J•••••• T•• E••••• P•••••••• L•••no longer reportedHedge Fund$51.0M12Feb 15, 2012
4• H• L•••••• P•••••••••Hedge Fund$16.4M16Feb 15, 2012
Owners and control persons
Schedule A and B, latest filing
  • F••••••• R•••••• J•••• · Member And Head Of Business Developmentcontrol
    since 01/2010 · owns 25% to 50%
  • K•••• T••••••• C••••••••• · Member And Head Tradercontrol
    since 01/2010 · owns 25% to 50%
  • R••••••••• J•••••• C••••• · Member And Chief Investment Officercontrol
    since 01/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
  • H•• C•••••• M••••••••• L••
    bankpooled vehicle sponsorn
  • H•• P•••••••• L•••
    bankpooled vehicle sponsorn
  • J••••• C• R••••••••
    bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 10 to 8
    Mar 31, 2021 to Mar 31, 2022
  • Advisory employees · 5 to 4
    Mar 31, 2021 to Mar 31, 2022
  • Corporate clients · 1.0 to unset
    Mar 31, 2021 to Mar 31, 2022
  • Pooled vehicle clients · 6 to 5
    Mar 31, 2021 to Mar 31, 2022
  • Employees · 10 to 9
    Mar 31, 2021 to Mar 31, 2022
  • Private funds · 6 to 5
    Mar 31, 2021 to Mar 31, 2022
  • Discretionary RAUM · $1.5B to $1.0B
    Mar 31, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · $1.2B to $823M
    Mar 31, 2021 to Mar 31, 2022
  • RAUM · $1.5B to $1.0B
    Mar 31, 2021 to Mar 31, 2022
  • Accounts · 14 to 10
    Mar 30, 2020 to Mar 31, 2021
  • Advisory employees · 7 to 5
    Mar 30, 2020 to Mar 31, 2021
  • Pooled vehicle clients · 8 to 6
    Mar 30, 2020 to Mar 31, 2021
  • Employees · 11 to 10
    Mar 30, 2020 to Mar 31, 2021
  • Private funds · 7 to 6
    Mar 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $1.5B to $1.5B
    Mar 30, 2020 to Mar 31, 2021
  • Pooled vehicle RAUM · $1.3B to $1.2B
    Mar 30, 2020 to Mar 31, 2021
  • RAUM · $1.5B to $1.5B
    Mar 30, 2020 to Mar 31, 2021
  • Accounts · 15 to 14
    Mar 29, 2019 to Mar 30, 2020
  • Other offices · 1 to 0
    Mar 29, 2019 to Mar 30, 2020
  • Discretionary RAUM · $1.5B to $1.5B
    Mar 29, 2019 to Mar 30, 2020
  • Pooled vehicle RAUM · $1.3B to $1.3B
    Mar 29, 2019 to Mar 30, 2020
  • RAUM · $1.5B to $1.5B
    Mar 29, 2019 to Mar 30, 2020
  • Accounts · 16 to 15
    Mar 22, 2018 to Mar 29, 2019
  • Advisory employees · 8 to 7
    Mar 22, 2018 to Mar 29, 2019
  • Employees · 13 to 11
    Mar 22, 2018 to Mar 29, 2019
  • Discretionary RAUM · $2.1B to $1.5B
    Mar 22, 2018 to Mar 29, 2019
  • Pooled vehicle RAUM · $1.8B to $1.3B
    Mar 22, 2018 to Mar 29, 2019
  • RAUM · $2.1B to $1.5B
    Mar 22, 2018 to Mar 29, 2019
  • Accounts · 18 to 16
    Mar 31, 2017 to Mar 22, 2018
  • Corporate clients · unset to 1.0
    Mar 31, 2017 to Mar 22, 2018
  • Pooled vehicle clients · unset to 8.0
    Mar 31, 2017 to Mar 22, 2018
  • Other offices · unset to 1.0
    Mar 31, 2017 to Mar 22, 2018
  • Discretionary RAUM · $2.3B to $2.1B
    Mar 31, 2017 to Mar 22, 2018
  • Pooled vehicle RAUM · unset to 1817957693.0
    Mar 31, 2017 to Mar 22, 2018
  • RAUM · $2.3B to $2.1B
    Mar 31, 2017 to Mar 22, 2018
  • Accounts · 19 to 18
    Mar 28, 2016 to Mar 31, 2017
  • Private funds · 8 to 7
    Mar 28, 2016 to Mar 31, 2017
  • Discretionary RAUM · $2.7B to $2.3B
    Mar 28, 2016 to Mar 31, 2017
  • RAUM · $2.7B to $2.3B
    Mar 28, 2016 to Mar 31, 2017
  • Advisory employees · 6 to 8
    Mar 31, 2015 to Mar 28, 2016
Signals
4 dated events
  • J••••• C••••• R•••••••• left H•• A•••• M••••••••• L•• for D•••••••• A•••• M••••••••• L•• (registered 2024-10-29)
    Jul 13, 2022 · Advisor changed firm · fact
  • H•• A•••• M••••••••• L•• reported RAUM $1.0B, down 30% from $1.5B (2021-03-31 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • A Michael Violette (Chief Compliance Officer) no longer on Schedule A of H•• A•••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • H•• A•••• M••••••••• L•• reported RAUM $1.5B, down 29% from $2.1B (2018-03-22 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
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