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•••••• A•••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jul 21, 2010
RAUM
$2.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.3%
$5.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.0B as of Mar 26, 2026
Mar 30, 2012$377M then
HNW client RAUM$5.2M as of Mar 26, 2026
Mar 6, 2018$3.8M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Mar 26, 2026
Mar 27, 20134 then
Private funds1 as of Mar 27, 2019
Mar 30, 20121 then
RAUM +32% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $88.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%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
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B94%
- Investment companies$50.7M2.5%
- Corporations and businesses$45.6M2.3%
- Charitable organizations$6.7M0.3%
- Other investment advisers$6.5M0.3%
- High-net-worth individuals$5.2M0.3%
- Individuals$122,2010.0%
- Individual clients
- 1reported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• F•••• I••••• F•••• L•no longer reported | Hedge Fund | $17.3M | 10 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• S•••••• H•••• · Managing Membercontrolsince 09/2010 · owns 25% to 50%
- K••••••• M••••••• J••••• · Managing Membercontrolsince 09/2010 · owns 25% to 50%
- S•••••••• A•••••• H•••••••• · Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- B•••••• M•••••• H••••••• · Opencontrolsince 01/2010 · owns 75% or more of D••• C•••••• M••••••••• L••
Entity owners
- D••• C•••••• M••••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- D••• C•••••• M••••••••• L••banky
Advisers that list H•••••• A•••• M••••••••• L•• as a related person
- 328632 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 23Mar 26, 2025 to Mar 26, 2026
- Charity clients · 1 to 3Mar 26, 2025 to Mar 26, 2026
- HNW clients · 4 to 3Mar 26, 2025 to Mar 26, 2026
- Pooled vehicle clients · 9 to 11Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.5B to $2.0BMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $7.2M to $5.2MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $115,216 to $122,201Mar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.4B to $1.9BMar 26, 2025 to Mar 26, 2026
- RAUM · $1.5B to $2.0BMar 26, 2025 to Mar 26, 2026
- Accounts · 23 to 20Feb 1, 2024 to Mar 26, 2025
- Corporate clients · 5 to 2Feb 1, 2024 to Mar 26, 2025
- HNW clients · 5 to 4Feb 1, 2024 to Mar 26, 2025
- Individual clients · unset to 1.0Feb 1, 2024 to Mar 26, 2025
- Pooled vehicle clients · unset to 9.0Feb 1, 2024 to Mar 26, 2025
- Financial planning clients · unset to Feb 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.3B to $1.5BFeb 1, 2024 to Mar 26, 2025
- HNW RAUM · $7.3M to $7.2MFeb 1, 2024 to Mar 26, 2025
- Individual RAUM · unset to 115216.0Feb 1, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · unset to 1433910316.0Feb 1, 2024 to Mar 26, 2025
- RAUM · $1.3B to $1.5BFeb 1, 2024 to Mar 26, 2025
- Related adviser · false to trueFeb 1, 2024 to Mar 26, 2025
- Charity clients · unset to 1.0Jul 11, 2023 to Feb 1, 2024
- Employees · 5 to 4Jul 11, 2023 to Feb 1, 2024
- Discretionary RAUM · $1.7B to $1.3BJul 11, 2023 to Feb 1, 2024
- HNW RAUM · $11.4M to $7.3MJul 11, 2023 to Feb 1, 2024
- RAUM · $1.7B to $1.3BJul 11, 2023 to Feb 1, 2024
- Accounts · 24 to 23Oct 31, 2022 to Mar 21, 2023
- Charity clients · 0.0 to unsetOct 31, 2022 to Mar 21, 2023
- Pension plan clients · 1.0 to unsetOct 31, 2022 to Mar 21, 2023
- Discretionary RAUM · $1.4B to $1.7BOct 31, 2022 to Mar 21, 2023
- HNW RAUM · $34.7M to $11.4MOct 31, 2022 to Mar 21, 2023
- Pension RAUM · 35131199.0 to unsetOct 31, 2022 to Mar 21, 2023
- RAUM · $1.4B to $1.7BOct 31, 2022 to Mar 21, 2023
- Accounts · 26 to 24Mar 16, 2021 to Mar 2, 2022
- Charity clients · 1 to 0Mar 16, 2021 to Mar 2, 2022
- HNW clients · 7 to 5Mar 16, 2021 to Mar 2, 2022
- Discretionary RAUM · $1.4B to $1.4BMar 16, 2021 to Mar 2, 2022
- HNW RAUM · $10.8M to $34.7MMar 16, 2021 to Mar 2, 2022
- Pension RAUM · $46.4M to $35.1MMar 16, 2021 to Mar 2, 2022
- RAUM · $1.4B to $1.4BMar 16, 2021 to Mar 2, 2022
Signals
4 dated events
- H•••••• A•••• M••••••••• L•• reported RAUM $2.0B, up 32% from $1.5B (2025-03-26 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Russell James Dailey (Cfo) no longer on Schedule A of H•••••• A•••• M••••••••• L•• (listed 2023-07-11, absent 2024-02-01)Feb 1, 2024 · Control person left · inference
- H•••••• A•••• M••••••••• L•• reported RAUM $1.7B, up 28% from $1.4B (2022-10-31 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- H•••••• A•••• M••••••••• L•• reported RAUM $1.2B, up 26% from $910.4M (2017-09-28 to 2018-03-06)Mar 6, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H••••••-ASSET-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••••MGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-437-5600reportedpublic record, Form ADV, Mar 26, 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