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•
Latest filing Jul 1, 2021
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$304M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$304M gross assets
History
24 filings and snapshots on the tape
RAUM$304M as of Mar 24, 2021
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2021
Mar 28, 20132 then
Employees (5.A)8 as of Mar 24, 2021
Mar 28, 201321 then
Private funds3 as of Mar 24, 2021
Mar 30, 20126 then
RAUM -30% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 1, 2021; every figure names its basis
- RAUM per advisor
- $304MderivedRAUM 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
- $43.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $304M, 7 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$304M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $304M for 7 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
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• C•••••• M••••• F•••• L••• | Hedge Fund | $154M | 96 | Mar 30, 2012 |
| H••••• C•••• O••••••••• F••• L•no longer reported | Hedge Fund | $43.8M | 21 | Feb 14, 2017 |
| H••••• H••• K••• O••••••••• F••• L• | Hedge Fund | $41.3M | 73 | Apr 13, 2017 |
| G•• M••••• S•• • H••••• S••••••••• P••••••••no longer reported | Hedge Fund | $41.0M | 3 | Mar 30, 2012 |
| C••••••• F•••••• P••••••• L• | Private Equity Fund | $1.4M | 39 | Feb 26, 2016 |
| H••••• C••••• M••••• F••• L•••no longer reported | Hedge Fund | $1.4M | 81 | Jun 1, 2015 |
| H••••• O••••• F••• S•• • P•••••••• A•no longer reported | Hedge Fund | $778,890 | 19 | Jun 1, 2015 |
| H••••• A•• P•••••••• L•••no longer reported | Other Private Fund | $776,000 | 4 | Mar 30, 2012 |
| H••••• L••••••••• L•••no longer reported | Other Private Fund | $610,000 | 25 | Mar 30, 2012 |
| H••••• S•••••••• F•••• L•no longer reported | Hedge Fund | $502,173 | 1 | Aug 26, 2015 |
| H••••• D•••••• L•no longer reported | Hedge Fund | $284,565 | 1 | May 6, 2014 |
| H••••• M••••••• C••••• M••••• F•••• L•••no longer reported | Hedge Fund | $113,304 | 0 | Mar 30, 2012 |
| J•••• M•••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $16,879 | 180 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• J• K••• · Managing Partner, Chief Investment Officercontrolsince 12/2005 · owns less than 5%
- K•••••••• J••••••• J•••• · Chief Financial Officercontrolsince 07/2007 · owns less than 5%
- L••••• D••••• S•• · Chief Operating Officercontrolsince 12/2005 · owns less than 5%
- S••••• S•••••• T••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- B•••• J• K••• · Trusteecontrolsince 05/2014 · owns F of F••• C••• R•••••••• T••••
- B•••• J• K••• · Sole Membercontrolsince 06/2001 · owns 75% or more of H••••• I••••••••• L••
- K•••••••• J••••••• J•••• · Trusteecontrolsince 08/2009 · owns F of B••• D••••••••• T•••• N•• 1•
- K•••••••• J••••••• J•••• · Trusteecontrolsince 12/2017 · owns F of B••• D••••••••• T•••• N•• 1•
- L•••••••• B••••••• J••••• · Trusteecontrolsince 12/2017 · owns F of B••• D••••••••• T•••• N•• 1•
- L•••••••• B••••••• J••••• · Trusteecontrolsince 12/2014 · owns F of B••• D••••••••• T•••• N•• 1•
Entity owners
- F••• C••• R•••••••• T•••• · Limited Partnerdirect · owns 75% or more
- H••••• I••••••••• L•• · General Partnerdirect · owns less than 5%
- B••• D••••••••• T•••• N•• 1• · Limited Partnerdirect · owns 5% to 10%
- B••• D••••••••• T•••• N•• 1• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 7Apr 23, 2020 to Mar 24, 2021
- Advisory employees · 3 to 2Apr 23, 2020 to Mar 24, 2021
- Pooled vehicle clients · 11 to 7Apr 23, 2020 to Mar 24, 2021
- Assets in custody · $432M to $304MApr 23, 2020 to Mar 24, 2021
- Employees · 9 to 8Apr 23, 2020 to Mar 24, 2021
- Private funds · 4 to 3Apr 23, 2020 to Mar 24, 2021
- Discretionary RAUM · $432M to $304MApr 23, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $432M to $304MApr 23, 2020 to Mar 24, 2021
- RAUM · $432M to $304MApr 23, 2020 to Mar 24, 2021
- Accounts · 15 to 11Nov 7, 2019 to Mar 30, 2020
- Advisory employees · 4 to 3Nov 7, 2019 to Mar 30, 2020
- Advisory activities · 2 to 1Nov 7, 2019 to Mar 30, 2020
- Pooled vehicle clients · 15 to 11Nov 7, 2019 to Mar 30, 2020
- Assets in custody · $327M to $432MNov 7, 2019 to Mar 30, 2020
- Employees · 13 to 9Nov 7, 2019 to Mar 30, 2020
- Private funds · 5 to 4Nov 7, 2019 to Mar 30, 2020
- Discretionary RAUM · $424M to $432MNov 7, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $424M to $432MNov 7, 2019 to Mar 30, 2020
- RAUM · $424M to $432MNov 7, 2019 to Mar 30, 2020
- Accounts · 14 to 15Aug 13, 2018 to Mar 28, 2019
- Pooled vehicle clients · 14 to 15Aug 13, 2018 to Mar 28, 2019
- Assets in custody · $387M to $327MAug 13, 2018 to Mar 28, 2019
- Discretionary RAUM · $474M to $424MAug 13, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $474M to $424MAug 13, 2018 to Mar 28, 2019
- RAUM · $474M to $424MAug 13, 2018 to Mar 28, 2019
- Accounts · 18 to 14Jun 5, 2017 to Mar 29, 2018
- Advisory employees · 5 to 4Jun 5, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 14.0Jun 5, 2017 to Mar 29, 2018
- Assets in custody · $459M to $387MJun 5, 2017 to Mar 29, 2018
- Employees · 17 to 13Jun 5, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 5, 2017 to Mar 29, 2018
- Private funds · 8 to 5Jun 5, 2017 to Mar 29, 2018
- Discretionary RAUM · $815M to $474MJun 5, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 474225146.0Jun 5, 2017 to Mar 29, 2018
- RAUM · $815M to $474MJun 5, 2017 to Mar 29, 2018
- Accounts · 15 to 18Feb 14, 2017 to Apr 13, 2017
- Assets in custody · $422M to $459MFeb 14, 2017 to Apr 13, 2017
- Private funds · 7 to 8Feb 14, 2017 to Apr 13, 2017
- Discretionary RAUM · $904M to $815MFeb 14, 2017 to Apr 13, 2017
- RAUM · $904M to $815MFeb 14, 2017 to Apr 13, 2017
Signals
4 dated events
- H••••• C•••••• M••••••••• L• reported RAUM $303.8M, down 30% from $432.3M (2020-04-23 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- Maxwell Blake Jones (General Counsel & Chief Compliance Officer) no longer on Schedule A of H••••• C•••••• M••••••••• L• (listed 2019-03-28, absent 2019-11-07)Nov 7, 2019 · Control person left · inference
- T••• S••••• S•••• (Chief Compliance Officer) appeared on Schedule A of H••••• C•••••• M••••••••• L•Nov 7, 2019 · Control person joined · fact
- H••••• C•••••• M••••••••• L• reported RAUM $474.2M, down 42% from $814.9M (2017-06-05 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H•••••CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 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
- 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
Across the graphs
H••••• C•••••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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