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.
SEC-registered adviser
H• M••••••••• P•••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Feb 8, 2012 · 36 filings
SEC status approved since Oct 25, 2007
RAUM
$470M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
35%
$166M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$235M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$470M as of Jun 26, 2026
Feb 8, 2012$886M then
HNW client RAUM$166M as of Jun 26, 2026
Mar 28, 2018$307M then
State-registered IARs (5.B.3)1 as of Jun 26, 2026
Feb 8, 20120 then
Employees (5.A)9 as of Jun 26, 2026
Mar 18, 201313 then
Private funds1 as of Mar 20, 2024
Mar 31, 20211 then
RAUM -70% over the last fiscal year-42% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $235MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $8.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -70%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$191M41%
- High-net-worth individuals$166M35%
- Pooled investment vehicles$74.2M16%
- Corporations and businesses$38.3M8.2%
- Individual clients
- 0reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 10reported
- Accounts
- 58reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.35 fund_share=0.16 institutional_share=0.41 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G•• G••••••Chartered Financial Analyst | Greenwich, Ct | Jul 30, 2025 | 26 y | 0 |
| H•••• W•••••• S•••••• | New York, Ny | Jun 11, 2026 | 34 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• 0•• | Other Private Fund | $25.3M | 0 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••• A•••• · Member (Partner & Director Of Research)controlsince 10/2007 · owns 25% to 50%
- C••••••• S•••••• •••• · Director Of Finance & Chief Administrative Officercontrolsince 01/2024 · owns less than 5%
- K••••• D••••••• A••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- N•••••• G••••••• A•••••• · Member (Partner, President & Investment Strategist)controlsince 10/2007 · owns 10% to 25%
- S••••••• H••••• W•••••• · Managing Member (Partner & Chief Investment Officer)controlsince 06/2007 · owns 25% to 50%
- D••••••• M•••• E••• · Director Of Operationssince 01/2024 · owns less than 5%
- N•••••• P••••• L••• · Director Of Client Servicesince 01/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jun 26, 2026RAUM per account of $8,101,531 against a peer median of $439,994 (5431 comparable advisers, 100.0th percentile, 5.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,431) · 100% percentile
- high institutional concentrationStatic outlier · filing Jun 26, 2026institutional share of RAUM of 41% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 13.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
- client mix shiftChange between filings · filing Apr 6, 2026private-client share of RAUM moved from 12.0% to 35.0% between the annual amendments of 2025-02-27 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
- employee count dropChange between filings · filing Apr 6, 2026employees (Item 5.A) moved from 13.0 to 9.0 (-31.0%) between the annual amendments of 2025-02-27 and 2026-04-06; the peer median change was 0.0% (507 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 5.3% percentile
- HNW share shiftChange between filings · filing Apr 6, 2026HNW share of RAUM moved from 11.0% to 35.0% between the annual amendments of 2025-02-27 and 2026-04-06peers: independent wealth managers, $100M to $500M (5,676)
- RAUM down 50 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $1,547,896,594 to $469,888,792 (-70.0%) between the annual amendments of 2025-02-27 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.2% percentile
What changed
consecutive filings, newest first
- Accounts · 140 to 58Jul 30, 2025 to Mar 20, 2026
- Advisory employees · 7 to 5Jul 30, 2025 to Mar 20, 2026
- Advisory activities · 4 to 3Jul 30, 2025 to Mar 20, 2026
- Charity clients · 59 to 10Jul 30, 2025 to Mar 20, 2026
- Corporate clients · 13 to 9Jul 30, 2025 to Mar 20, 2026
- HNW clients · 41 to 33Jul 30, 2025 to Mar 20, 2026
- Individual clients · 3 to 0Jul 30, 2025 to Mar 20, 2026
- Pension plan clients · 11 to 0Jul 30, 2025 to Mar 20, 2026
- Pooled vehicle clients · 10 to 6Jul 30, 2025 to Mar 20, 2026
- Employees · 13 to 9Jul 30, 2025 to Mar 20, 2026
- Discretionary RAUM · $1.5B to $470MJul 30, 2025 to Mar 20, 2026
- HNW RAUM · $176M to $166MJul 30, 2025 to Mar 20, 2026
- Individual RAUM · $2.5M to $0Jul 30, 2025 to Mar 20, 2026
- Pension RAUM · $186M to $0Jul 30, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $131M to $74.2MJul 30, 2025 to Mar 20, 2026
- RAUM · $1.5B to $470MJul 30, 2025 to Mar 20, 2026
- Financial planning clients · unset to Feb 27, 2025 to Jul 30, 2025
- Accounts · 264 to 140May 22, 2024 to Jan 30, 2025
- Advisory employees · 8 to 7May 22, 2024 to Jan 30, 2025
- Charity clients · 96 to 59May 22, 2024 to Jan 30, 2025
- Corporate clients · 18 to 13May 22, 2024 to Jan 30, 2025
- HNW clients · 95 to 41May 22, 2024 to Jan 30, 2025
- Individual clients · 13 to 3May 22, 2024 to Jan 30, 2025
- Pension plan clients · 16 to 11May 22, 2024 to Jan 30, 2025
- Pooled vehicle clients · 24 to 10May 22, 2024 to Jan 30, 2025
- Employees · 18 to 13May 22, 2024 to Jan 30, 2025
- Private funds · 1 to unsetMay 22, 2024 to Jan 30, 2025
- Discretionary RAUM · $2.4B to $1.5BMay 22, 2024 to Jan 30, 2025
- HNW RAUM · $309M to $176MMay 22, 2024 to Jan 30, 2025
- Individual RAUM · $11.8M to $2.5MMay 22, 2024 to Jan 30, 2025
- Pension RAUM · $245M to $186MMay 22, 2024 to Jan 30, 2025
- Pooled vehicle RAUM · $266M to $131MMay 22, 2024 to Jan 30, 2025
- RAUM · $2.4B to $1.5BMay 22, 2024 to Jan 30, 2025
- Accounts · 294 to 264Dec 18, 2023 to Mar 20, 2024
- Charity clients · 94 to 96Dec 18, 2023 to Mar 20, 2024
- HNW clients · 111 to 95Dec 18, 2023 to Mar 20, 2024
- Pension plan clients · 17 to 16Dec 18, 2023 to Mar 20, 2024
- Pooled vehicle clients · 31 to 24Dec 18, 2023 to Mar 20, 2024
- Employees · 19 to 18Dec 18, 2023 to Mar 20, 2024
- Discretionary RAUM · $2.4B to $2.4BDec 18, 2023 to Mar 20, 2024
Signals
8 dated events
- H• M••••••••• P•••••••• L•• reported RAUM $469.9M, down 70% from $1.5B (2025-07-30 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- H• M••••••••• P•••••••• L•• reported RAUM $1.5B, down 35% from $2.4B (2024-05-22 to 2025-01-30)Jan 30, 2025 · RAUM change · derived
- (Nmn) Sandra Coleman (Director Of Finance & Chief Administrative Officer) appeared on Schedule A of H• M••••••••• P•••••••• L••Mar 20, 2024 · Control person joined · fact
- Howard Barton Buxbaum (Member (Partner, Chief Administrative Officer)) no longer on Schedule A of H• M••••••••• P•••••••• L•• (listed 2023-12-18, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- H• M••••••••• P•••••••• L•• reported RAUM $2.4B, down 38% from $3.9B (2022-12-08 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- Garrido Maite Macdonald (General Counsel) no longer on Schedule A of H• M••••••••• P•••••••• L•• (listed 2022-11-30, absent 2022-12-08)Dec 8, 2022 · Control person left · inference
- Andrew Douglas Kamin (Chief Compliance Officer) appeared on Schedule A of H• M••••••••• P•••••••• L••Nov 30, 2022 · Control person joined · fact
- Robert Ronald Staib (Chief Compliance Officer) no longer on Schedule A of H• M••••••••• P•••••••• L•• (listed 2022-03-31, absent 2022-11-30)Nov 30, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 212-888-0060reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-888-0066reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/HS-MANAGEMENT-PARTNERS-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- HSMANAGE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-888-0060reportedpublic record, Form ADV, Jun 26, 2026
- Team page
- hsmanage.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $235Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026