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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SEC-registered adviser
H••• I••••••••• M••••••••• L••
Latest filing Apr 9, 2026
First filing on the tape Mar 14, 2012 · 41 filings
SEC status approved since Oct 16, 2009
RAUM
$118M
reported, Item 5.F
Discretionary
11%
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
22
21 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
2
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$118M as of Apr 9, 2026
Mar 14, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 14, 20120 then
Employees (5.A)22 as of Apr 9, 2026
Apr 1, 201350 then
Private funds2 as of Apr 9, 2026
Mar 14, 201217 then
RAUM -8.7% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 2026; 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
- $39.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.7%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$117M99%
- Insurance companies$893,3460.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
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
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• D•••• L•• | Real Estate Fund | $128M | 2 | Mar 14, 2012 |
| L•• M••••••••• L••no longer reported | Real Estate Fund | $48.7M | 3 | Mar 14, 2012 |
| H••• H••••••• F••• I• L•no longer reported | Real Estate Fund | $35.4M | 1 | Mar 29, 2019 |
| H••• D••• O••••••••• M••••• F•••• L•no longer reported | Private Equity Fund | $25.2M | 1 | Sep 15, 2016 |
| S••• A••••••••• H•••••• M••••••• F••• L••no longer reported | Real Estate Fund | $19.7M | 2 | Mar 30, 2012 |
| H••• C•• O••••• O• F•••• L• | Real Estate Fund | $11.2M | 33 | Mar 28, 2020 |
| U••••• H•••••••• L••no longer reported | Real Estate Fund | $4.0M | 2 | Mar 14, 2012 |
| R••••••••• I••••• A•• V••••••••• F••• L••no longer reported | Real Estate Fund | $1.8M | 33 | Mar 30, 2012 |
| H••• C••••••••• R••••• P••••••• I••• L•••no longer reported | Real Estate Fund | $1.8M | 14 | Mar 14, 2012 |
| H••• C•• G••••• F•••• L•no longer reported | Real Estate Fund | $1.6M | 16 | Mar 28, 2020 |
| R••••••••• I••••• A•• V••••••••• P••••••• F••• L••no longer reported | Real Estate Fund | $1.4M | 9 | Mar 30, 2012 |
| H••• C••••••••• R••••• P••••••• I•• L•no longer reported | Real Estate Fund | $588,401 | 19 | Mar 14, 2012 |
| H••• U• R••••• P•••••••• L••• | Real Estate Fund | $442,467 | 7 | Mar 14, 2012 |
| H••• C••••••••• R••••• P••••••• I•• •••••• L•no longer reported | Real Estate Fund | $393,819 | 15 | Mar 14, 2012 |
| A•••••••• P••••••••• I••••• A•• G••••• F••• I• L••no longer reported | Real Estate Fund | $334,178 | 3 | Mar 14, 2012 |
| M•• W•••••• A••••••••• L••no longer reported | Real Estate Fund | $325,664 | 27 | Mar 30, 2012 |
| S••••••• I••••••••• L••no longer reported | Real Estate Fund | $91,136 | 2 | Mar 14, 2012 |
| H••• C••••••••• R••••• P•••••••• L•no longer reported | Real Estate Fund | $83,889 | 20 | Mar 14, 2012 |
| H••• C••••••••• R••••• I•• I•••••••• V••••••• L•••no longer reported | Real Estate Fund | $26,027 | 12 | Mar 14, 2012 |
| C•••••• C••• P•••••••• L••no longer reported | Real Estate Fund | $21,064 | 3 | Mar 14, 2012 |
| H••• C••••••••• R••••• I• I•••••••• V•••••• L•no longer reported | Real Estate Fund | $2,328 | 8 | Mar 14, 2012 |
| H••• U• R••••• I•••••••• V••••••• L•• | Real Estate Fund | $1,416 | 11 | Mar 14, 2012 |
| R••••••••• A•• R••••••••• F••• L••no longer reported | Real Estate Fund | $0 | 24 | Mar 30, 2012 |
| H••• N•• P•••••••• L•no longer reported | Real Estate Fund | $0 | 0 | Mar 30, 2017 |
| R•••• P••••••• I••••••••• L••no longer reported | Real Estate Fund | $0 | 3 | Mar 14, 2012 |
| B•••••• F• R•••••• L••no longer reported | Real Estate Fund | $0 | 0 | Mar 14, 2012 |
| H•••• K••• R••• E••••• F•••• L• | Real Estate Fund | $0 | 51 | Mar 30, 2018 |
| S••••• A•••••••• P••••••••• L••no longer reported | Real Estate Fund | $0 | 3 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• G••• M•••• · Executive Vice President / M••••• Of Board Of Managerscontrolsince 05/2017 · owns less than 5%
- C•••••••• L••••• B• · Presidentcontrolsince 10/2023 · owns less than 5%
- D•••••• M•••• C••••••••• · Executive Vice Presidentcontrolsince 12/2019 · owns less than 5%
- D•••••••• P•••• D•••• · General Counselcontrolsince 02/2018 · owns less than 5%
- H••••••• M••••••• S••••• · Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- H•••• J••••• C••••••••• · Chief Executive Officer / M••••• Board Of Managerscontrolsince 03/2020 · owns less than 5%
- M••••••• R•••• B•••• · M••••• Of Board Of Managerscontrolsince 12/2019 · owns less than 5%
- P•••••• C••••••• A•••• · M••••• Of Board Of Managerscontrolsince 12/2019 · owns less than 5%
- S•••••• D•••••• C•••••• · Executive Vice President / M••••• Of Board Of Managerscontrolsince 12/2019 · owns less than 5%
- E••••••• S••••• H••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• J••••• M•••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• J•••••• W•••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
- H•••• M••••••• D••••• · Trusteecontrolsince 11/2013 · owns F of W•• D•••••• T••••
Entity owners
- H••• R•• H•••••••• L•• · M•••••direct · owns 75% or more
- H••• C•••••• H•••••••• L•• · M•••••indirect · owns 75% or more of H••• F• H••••••• I•• L••
- H••• C••••••••• I••• · M•••••indirect · owns 75% or more of H••• C••••••• L••
- H••• C••••••• L•• · M•••••indirect · owns 75% or more of H••• F• H•••••••• L••
- H••• F• H••••••• I•• L•• · M•••••indirect · owns 75% or more of H••• R•• H•••••••• L••
- H••• F• H•••••••• L•• · M•••••indirect · owns 75% or more of H••• C•••••• H•••••••• L••
- W•• D•••••• T•••• · Shareholderindirect · owns 25% to 50% of H••• C••••••••• I•••
Related persons
Schedule D 7.A
- A•••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- A•••• I••••••••• I••••••••• A•••••• L••investment advisernRAUM $186M
- B•••• C••••••• L••broker-dealern
- H••• C•••••• M••••••••• L••investment advisernRAUM $102M
- H••• C•••••• P•••••••• L••pooled vehicle sponsorn
- H••• C•• O••••• O• F••• G•• L••pooled vehicle sponsory
- H••• D••• M••••• ••••• L••pooled vehicle sponsory
- I••••••••• H•••••• S•••••••• S••••••investment adviserpooled vehicle sponsorn
- K••• O•••••• L••pooled vehicle sponsory
- S•• F•••••••• L••broker-dealern
- U• I•••••••• G•• L••pooled vehicle sponsory
Advisers that list H••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- El Paso, TX6 employees
- Denver, CO4 employees
- Rye Brook, NY2 employees
- Chicago, IL1 employees
- Dallas, TX1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $13.4M to $13.1MMar 26, 2026 to Apr 9, 2026
- RAUM · $118M to $118MMar 26, 2026 to Apr 9, 2026
- Private funds · 5 to 2Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $13.3M to $13.4MMar 26, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $116M to $105MMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $128M to $117MMar 26, 2025 to Mar 26, 2026
- RAUM · $129M to $118MMar 26, 2025 to Mar 26, 2026
- Accounts · 6 to 3Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 5 to 2Mar 27, 2024 to Mar 26, 2025
- Assets in custody · $139M to $0Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $12.9M to $13.3MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $128M to $116MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $139M to $128MMar 27, 2024 to Mar 26, 2025
- RAUM · $140M to $129MMar 27, 2024 to Mar 26, 2025
- Advisory employees · 20 to 21Aug 30, 2023 to Mar 27, 2024
- Assets in custody · $172M to $139MAug 30, 2023 to Mar 27, 2024
- Other offices · 6 to 5Aug 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $19.0M to $12.9MAug 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $154M to $128MAug 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $172M to $139MAug 30, 2023 to Mar 27, 2024
- RAUM · $173M to $140MAug 30, 2023 to Mar 27, 2024
- Assets in custody · $170M to $172MMar 30, 2023 to Apr 28, 2023
- Discretionary RAUM · $17.3M to $19.0MMar 30, 2023 to Apr 28, 2023
- Pooled vehicle RAUM · $170M to $172MMar 30, 2023 to Apr 28, 2023
- RAUM · $171M to $173MMar 30, 2023 to Apr 28, 2023
- Accounts · 7 to 6Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 6 to 5Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $204M to $170MMar 31, 2022 to Mar 30, 2023
- Employees · 24 to 22Mar 31, 2022 to Mar 30, 2023
- Private funds · 6 to 5Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $20.7M to $17.3MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $183M to $154MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $204M to $170MMar 31, 2022 to Mar 30, 2023
- RAUM · $204M to $171MMar 31, 2022 to Mar 30, 2023
- Accounts · 11 to 7May 3, 2021 to Mar 30, 2022
- Advisory employees · 26 to 20May 3, 2021 to Mar 30, 2022
- Pooled vehicle clients · 10 to 6May 3, 2021 to Mar 30, 2022
- Assets in custody · $212M to $204MMay 3, 2021 to Mar 30, 2022
- Employees · 32 to 24May 3, 2021 to Mar 30, 2022
Signals
17 dated events
- B Louis Conforti (President) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Michael Jason H••• (Trustee) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- D••••• M•••••• H••• (Trustee) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- H••• S•••• E•••••• (Trustee) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 27, 2024 · Control person joined · fact
- Christopher Marc Defife (Executive Vice President) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Larkin Woodley H••• (Shareholder) no longer on Schedule A of H••• I••••••••• M••••••••• L•• (listed 2020-10-26, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Louis Michael Falcone (Chief Operating Officer) no longer on Schedule A of H••• I••••••••• M••••••••• L•• (listed 2020-05-08, absent 2020-09-02)Sep 2, 2020 · Control person left · inference
- H••• I••••••••• M••••••••• L•• reported RAUM $276.6M, down 67% from $839.3M (2020-01-08 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- Christopher James H••• (Chief Executive Officer / Member Board Of Managers) appeared on Schedule A of H••• I••••••••• M••••••••• L••Mar 28, 2020 · Control person joined · fact
- Charles D••••• Singer (Executive Vice President / Member Of Board Of Managers) appeared on Schedule A of H••• I••••••••• M••••••••• L••Jan 8, 2020 · Control person joined · fact
- A•••• C•••••• P••••• (Member Of Board Of Managers) appeared on Schedule A of H••• I••••••••• M••••••••• L••Jan 8, 2020 · Control person joined · fact
- Peter James Flynn (Executive Vice President / Member Of Board Of Managers) no longer on Schedule A of H••• I••••••••• M••••••••• L•• (listed 2019-05-07, absent 2020-01-08)Jan 8, 2020 · Control person left · inference
- B•••• R••• Mccrory (Member Of Board Of Managers) appeared on Schedule A of H••• I••••••••• M••••••••• L••Jan 8, 2020 · Control person joined · fact
- David Thomas Duda (President / Member Of Board Of Managers) no longer on Schedule A of H••• I••••••••• M••••••••• L•• (listed 2018-06-13, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- H••• I••••••••• M••••••••• L•• reported RAUM $839.0M, down 57% from $1.9B (2018-06-13 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Adolfo Robert Lopez (Chief Accounting Officer) no longer on Schedule A of H••• I••••••••• M••••••••• L•• (listed 2018-06-13, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- H••• I••••••••• M••••••••• L•• reported RAUM $1.9B, up 370% from $411.9M (2017-06-12 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- H••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-588-2073reportedpublic record, Form ADV, Apr 9, 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
- Asset manager (funds and pooled vehicles)deriveda 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••• I••••••••• 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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