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•••••• H••••••••• A•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 153325SEC 801-71215IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$26.0M
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
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$26.0M as of Mar 31, 2017
Mar 29, 2012$81.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Apr 1, 20130 then
Employees (5.A)1 as of Mar 31, 2017
Apr 1, 20133 then
Private funds1 as of Mar 30, 2016
Mar 29, 20121 then
RAUM -47% over the last fiscal year-41% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$26.0MderivedRAUM 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
$13.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-47%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
H••••••• C•••••• H••••••••• P••••••• •••••••• L•••Hedge Fund$00Mar 29, 2012
Owners and control persons
Schedule A and B, latest filing
  • D••••••• J••••• D•••• · Presidentcontrol
    since 05/2010 · owns less than 5%
  • O••••• M•••• K•••••• · Vice Presidentcontrol
    since 05/2010 · owns less than 5%
  • W••••••••• F••••• G••••• · Treasurercontrol
    since 07/2012 · owns less than 5%
  • D••••••• J••••• D•••• · Director/Shareholdercontrol
    since 12/2000 · owns 75% or more of H••••••• C•••••• M••••••••• S•••••••• I•••
  • O••••• M•••• K•••••• · Director/Shareholdercontrol
    since 12/2000 · owns 25% to 50% of H••••••• C•••••• M••••••••• S•••••••• I•••
  • P•••• R•••••• J•••• · Chief Compliance Officer
    since 06/2016 · owns less than 5%
Entity owners
  • H••••••• C•••••• H••••••••• A••••••• G•• L•• · G•••••• Partner
    direct · owns less than 5%
  • H••••••• C•••••• M••••••••• S•••••••• I••• · L•••••• Partner
    direct · owns 75% or more
  • H••••••• C•••••• M••••••••• S•••••••• I••• · Member
    indirect · owns 75% or more of H••••••• C•••••• H••••••••• A••••••• G•• L••
Related persons
Schedule D 7.A
Advisers that list H••••••• C•••••• H••••••••• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 3 to 2
    Jun 28, 2016 to Mar 31, 2017
  • Advisory activities · 2 to 1
    Jun 28, 2016 to Mar 31, 2017
  • Assets in custody · 0.0 to unset
    Jun 28, 2016 to Mar 31, 2017
  • Custody of client assets · true to false
    Jun 28, 2016 to Mar 31, 2017
  • Employees · 0 to 1
    Jun 28, 2016 to Mar 31, 2017
  • State-registered IARs · 0 to 1
    Jun 28, 2016 to Mar 31, 2017
  • Private funds · 1 to unset
    Jun 28, 2016 to Mar 31, 2017
  • Discretionary RAUM · $48.8M to $26.0M
    Jun 28, 2016 to Mar 31, 2017
  • RAUM · $48.8M to $26.0M
    Jun 28, 2016 to Mar 31, 2017
  • Advisory employees · 3 to 0
    Aug 27, 2015 to Mar 30, 2016
  • Assets in custody · $13.7M to $0
    Aug 27, 2015 to Mar 30, 2016
  • Employees · 3 to 0
    Aug 27, 2015 to Mar 30, 2016
  • Discretionary RAUM · $647M to $48.8M
    Aug 27, 2015 to Mar 30, 2016
  • RAUM · $647M to $48.8M
    Aug 27, 2015 to Mar 30, 2016
  • Assets in custody · $13.2M to $13.7M
    Mar 31, 2014 to Mar 31, 2015
  • Discretionary RAUM · $126M to $647M
    Mar 31, 2014 to Mar 31, 2015
  • RAUM · $126M to $647M
    Mar 31, 2014 to Mar 31, 2015
  • Related bank · false to true
    Mar 31, 2014 to Mar 31, 2015
  • Accounts · 2 to 3
    Feb 27, 2014 to Mar 31, 2014
  • Business name · C••••••• B•• C•••••• M••••••••• L••• to H••••••• C•••••• H••••••••• A•••••••• L•••
    Feb 27, 2014 to Mar 31, 2014
  • Assets in custody · $16.6M to $13.2M
    Feb 27, 2014 to Mar 31, 2014
  • Legal name · C••••••• B•• C•••••• M••••••••• L••• to H••••••• C•••••• H••••••••• A•••••••• L•••
    Feb 27, 2014 to Mar 31, 2014
  • Discretionary RAUM · $66.9M to $126M
    Feb 27, 2014 to Mar 31, 2014
  • RAUM · $66.9M to $126M
    Feb 27, 2014 to Mar 31, 2014
  • Advisory employees · unset to 3.0
    May 14, 2012 to Apr 1, 2013
  • Assets in custody · $16.3M to $16.6M
    May 14, 2012 to Apr 1, 2013
  • Employees · unset to 3.0
    May 14, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 0.0
    May 14, 2012 to Apr 1, 2013
  • Discretionary RAUM · $173M to $66.9M
    May 14, 2012 to Apr 1, 2013
  • RAUM · $173M to $66.9M
    May 14, 2012 to Apr 1, 2013
  • Assets in custody · $7.2M to $16.3M
    Mar 29, 2012 to May 14, 2012
  • Discretionary RAUM · $81.0M to $173M
    Mar 29, 2012 to May 14, 2012
  • RAUM · $81.0M to $173M
    Mar 29, 2012 to May 14, 2012
Signals
No event on the tape.
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