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•••••• M••••••••• A••••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 153497SEC 801-71307IAPD
Legal name H•••••• M••••••••• A••••••••• C•••••• L••
Latest filing Dec 21, 2012
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$1.8B
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
23
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$1.8B gross assets
History
6 filings and snapshots on the tape
RAUM$1.8B as of Dec 21, 2012
Mar 30, 2012$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 21, 2012
Mar 30, 20120 then
Employees (5.A): 23
Private funds7 as of Dec 21, 2012
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 21, 2012; 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
$252MderivedRAUM 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
unknownderivedbetween 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 pooled vehicles, otherreportedItem 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)
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• L••• A••••••• F•••••• 2•••••• L•••Securitized Asset Fund$440M0Dec 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M• · Chairmancontrol
        since 12/2009 · owns less than 5%
      • G•••••••• A•••• · Chief Financial Officer, Vice President, Treasurercontrol
        since 12/2009 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relationscontrol
        since 12/2009 · owns less than 5%
      • H••••••••• T•••••• P••• · Chief Operating Officer, Vice Presidentcontrol
        since 12/2009 · owns less than 5%
      • K•••••• K••••• R••• · Vice Chairmancontrol
        since 12/2009 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counselcontrol
        since 12/2009 · owns less than 5%
      • M••••• M••••• · General Counsel, Vice President, Secretarycontrol
        since 12/2009 · owns less than 5%
      • S••••• R••• · Chief Investment Officer, Portfolio Managercontrol
        since 12/2009 · owns less than 5%
      • S•••••• D••••• N••• · Portfolio Managercontrol
        since 12/2009 · owns less than 5%
      • Y••••• B•••• · Portfolio Manager, Head Tradercontrol
        since 12/2009 · owns less than 5%
      • B••••• J•••• M• · Managing Principalcontrol
        since 12/2012 · owns 25% to 50% of H•••••• M••••••••• P••••••• L•
      Entity owners
      • H•••••• L••• M••••••••• L•• · Member
        direct · owns 75% or more
      • H•••••• M••••••••• H••••••• L• · Member
        indirect · owns 75% or more of H•••••• L••• M••••••••• L••
      • H•••••• M••••••••• P••••••• L• · Limited Partner
        indirect · owns 75% or more of H•••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• M••••••••• A••••••••• C•••••• 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 7
        Oct 22, 2012 to Dec 21, 2012
      • Advisory employees · unset to 13.0
        Oct 22, 2012 to Dec 21, 2012
      • Employees · unset to 23.0
        Oct 22, 2012 to Dec 21, 2012
      • Private funds · 3 to 7
        Oct 22, 2012 to Dec 21, 2012
      • Discretionary RAUM · $658M to $1.8B
        Oct 22, 2012 to Dec 21, 2012
      • RAUM · $658M to $1.8B
        Oct 22, 2012 to Dec 21, 2012
      • Accounts · 1 to 3
        Mar 30, 2012 to Aug 21, 2012
      • Advisory activities · 1 to 2
        Mar 30, 2012 to Aug 21, 2012
      • Private funds · 1 to 3
        Mar 30, 2012 to Aug 21, 2012
      • Discretionary RAUM · $273M to $658M
        Mar 30, 2012 to Aug 21, 2012
      • RAUM · $273M to $658M
        Mar 30, 2012 to Aug 21, 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