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•••••• V••••••••• M••••••••• L••

Former SEC-registered adviserNorwalk, ConnecticutCRD 146869SEC 801-69037websiteIAPD
Latest filing Oct 11, 2024
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Apr 17, 2008
RAUM
$217M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$196M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$217M as of Mar 22, 2024
Mar 28, 2012$1.6B then
HNW client RAUM$196M as of Mar 22, 2024
Mar 28, 2018$9.3B then
State-registered IARs (5.B.3)0 as of Mar 22, 2024
Feb 20, 20130 then
Employees (5.A)5 as of Mar 22, 2024
Feb 20, 20136 then
Private funds2 as of Mar 21, 2022
Mar 28, 20121 then
RAUM -89% over the last fiscal year-61% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 11, 2024; 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
$3.2MderivedHNW RAUM over HNW clients
Average account
$3.4MderivedRAUM 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
-89%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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$196M90%
  • Corporations and businesses$20.9M9.7%
Individual clients
n/areported
HNW clients
61reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
64reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $27.0M managedreported
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•••••• E••• R••• P•••••• E••••• C••••••••• I••••••••• T••••no longer reportedOther Private Fund$117M1Mar 28, 2018
      H•••••• V••••••••• A•••• F••• L•no longer reportedHedge Fund$18.7M20Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• C•••••• F•••••• · Managing Membercontrol
        since 03/2008 · owns less than 5%
      • C•••••• P••••••• J••••• · Chief Compliance Officer, Chief Financial Officer, Chief Operating Officercontrol
        since 03/2015 · owns less than 5%
      • S••••••• R••••••• L•• · Chief Executive Officer, Managing Membercontrol
        since 06/2008 · owns 50% to 75%
      • B••••••••• C•••••• F•••••• · Managing Membercontrol
        since 07/2003 · owns 75% or more of P•••• B•• G•••• L••
      • G••••• A•••• M•••••• · Trusteecontrol
        since 12/2012 · owns F of A•••• B••••••••• 2••• F••••• T••••
      Entity owners
      • A•••• B••••••••• 2••• F••••• T•••• · Member
        direct · owns 25% to 50%
      • P•••• B•• G•••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• V••••••••• 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 · 133 to 64
        Mar 23, 2023 to Mar 22, 2024
      • Advisory employees · 13 to 5
        Mar 23, 2023 to Mar 22, 2024
      • Advisory activities · 3 to 2
        Mar 23, 2023 to Mar 22, 2024
      • Corporate clients · 5.0 to unset
        Mar 23, 2023 to Mar 22, 2024
      • HNW clients · 123 to 61
        Mar 23, 2023 to Mar 22, 2024
      • Employees · 13 to 5
        Mar 23, 2023 to Mar 22, 2024
      • Discretionary RAUM · $1.9B to $217M
        Mar 23, 2023 to Mar 22, 2024
      • HNW RAUM · $1.3B to $196M
        Mar 23, 2023 to Mar 22, 2024
      • RAUM · $1.9B to $217M
        Mar 23, 2023 to Mar 22, 2024
      • Wrap assets (manager) · $454M to $27.0M
        Mar 23, 2023 to Mar 22, 2024
      • Accounts · 169 to 133
        Oct 11, 2022 to Mar 23, 2023
      • Advisory employees · 11 to 13
        Oct 11, 2022 to Mar 23, 2023
      • Advisory activities · 4 to 3
        Oct 11, 2022 to Mar 23, 2023
      • Charity clients · 2.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • Corporate clients · 7 to 5
        Oct 11, 2022 to Mar 23, 2023
      • HNW clients · 145 to 123
        Oct 11, 2022 to Mar 23, 2023
      • Pension plan clients · 8.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • Pooled vehicle clients · 3.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • Assets in custody · 0.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • Custody of client assets · true to false
        Oct 11, 2022 to Mar 23, 2023
      • Employees · 11 to 13
        Oct 11, 2022 to Mar 23, 2023
      • Discretionary RAUM · $5.0B to $1.9B
        Oct 11, 2022 to Mar 23, 2023
      • HNW RAUM · $1.6B to $1.3B
        Oct 11, 2022 to Mar 23, 2023
      • Pension RAUM · 1040166159.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · 1198238925.0 to unset
        Oct 11, 2022 to Mar 23, 2023
      • RAUM · $5.0B to $1.9B
        Oct 11, 2022 to Mar 23, 2023
      • Related bank · true to false
        Oct 11, 2022 to Mar 23, 2023
      • Wrap assets (manager) · $551M to $454M
        Oct 11, 2022 to Mar 23, 2023
      • Private funds · 2 to unset
        Mar 21, 2022 to Apr 27, 2022
      • Accounts · 240 to 169
        Jan 7, 2022 to Mar 21, 2022
      • Advisory employees · 20 to 11
        Jan 7, 2022 to Mar 21, 2022
      • Charity clients · 4 to 2
        Jan 7, 2022 to Mar 21, 2022
      • Corporate clients · 24 to 7
        Jan 7, 2022 to Mar 21, 2022
      • HNW clients · 200 to 145
        Jan 7, 2022 to Mar 21, 2022
      • Employees · 20 to 11
        Jan 7, 2022 to Mar 21, 2022
      • HQ city · NEW YORK to NORWALK
        Jan 7, 2022 to Mar 21, 2022
      • HQ state · NY to CT
        Jan 7, 2022 to Mar 21, 2022
      • Discretionary RAUM · $3.7B to $5.0B
        Jan 7, 2022 to Mar 21, 2022
      • HNW RAUM · $1.8B to $1.6B
        Jan 7, 2022 to Mar 21, 2022
      • Pension RAUM · $662M to $1.0B
        Jan 7, 2022 to Mar 21, 2022
      Signals
      11 dated events
      • H•••••• V••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $216.6M)
        Feb 3, 2025 · Left the SEC roster · derived
      • H•••••• V••••••••• M••••••••• L•• reported RAUM $216.6M, down 89% from $1.9B (2023-03-23 to 2024-03-22)
        Mar 22, 2024 · RAUM change · derived
      • H•••••• V••••••••• M••••••••• L•• reported RAUM $1.9B, down 61% from $5.0B (2022-10-11 to 2023-03-23)
        Mar 23, 2023 · RAUM change · derived
      • H•••••• V••••••••• M••••••••• L•• reported RAUM $5.0B, up 35% from $3.7B (2022-01-07 to 2022-03-21)
        Mar 21, 2022 · RAUM change · derived
      • T Laurel Mason (Chief Compliance Officer, General Counsel) no longer on Schedule A of H•••••• V••••••••• M••••••••• L•• (listed 2021-03-31, absent 2021-07-01)
        Jul 1, 2021 · Control person left · inference
      • Nmn Allan Kennedy (Chief Marketing Officer) no longer on Schedule A of H•••••• V••••••••• M••••••••• L•• (listed 2020-06-22, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Keith Garrett Paolella (Chief Operating Officer) no longer on Schedule A of H•••••• V••••••••• M••••••••• L•• (listed 2020-06-22, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • H•••••• V••••••••• M••••••••• L•• reported RAUM $4.8B, down 55% from $10.5B (2019-08-12 to 2020-03-24)
        Mar 24, 2020 · RAUM change · derived
      • T Laurel Mason (Chief Compliance Officer, General Counsel) appeared on Schedule A of H•••••• V••••••••• M••••••••• L••
        Aug 12, 2019 · Control person joined · fact
      • Keith Garrett Paolella (Chief Operating Officer) appeared on Schedule A of H•••••• V••••••••• M••••••••• L••
        Mar 27, 2019 · Control person joined · fact
      • H•••••• V••••••••• M••••••••• L•• reported RAUM $12.5B, up 43% from $8.8B (2017-03-24 to 2018-03-28)
        Mar 28, 2018 · 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