DFX Intelligence

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H•••••• C•••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $1.0B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2019-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $1.0B
RAUM change, 1 year: -53%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2019-03-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 28 Mar 2019, RAUM $2.24B to $1.04B (-53.3%) on the Form ADV filed 28 Mar 2019.

Every filed figure, and the identifiersCRD 155798 · SEC 801-73089 · 14 filingsShow

CRD 155798SEC 801-73089First filing on the tape Jan 25, 2012, latest Mar 28, 2019IAPD

RAUM

$1.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$1.0B gross assets

History

14 filings and snapshots on the tape

RAUM -38% a year over three years · the tape starts Jan 25, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.0B as of Mar 28, 2019

Mar 27, 2013$3.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2019

Mar 27, 20130 then

Employees (5.A)14 as of Mar 28, 2019

Mar 27, 201326 then

Private funds3 as of Mar 28, 2019

Mar 27, 20132 then

RAUM -53% over the last fiscal year-38% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 28, 2019; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $174MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -53%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-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $1.0B, 6 clientsreportedItem 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$1.0B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 6reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $1.0B for 6 clientsreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H•••••• O••••••• F•••• L•••no longer reported	Hedge Fund	$1.7B	124	Jan 25, 2012
H•••••• O••••••• M••••• F•••• L•••	Hedge Fund	$550M	54	Mar 21, 2014
H•••••• P•••••••• L•••	Hedge Fund	$466M	49	Jan 25, 2012
H•••••• L••• M••••• F•••• L•••	Hedge Fund	$29.3M	7	Nov 10, 2016

Owners and control persons

Schedule A and B, latest filing

L••••••••• J•••• T• · Limited Partner, Chief Investment Officercontrol
since 02/2003 · owns 75% or more
M••••••• D•••••• E••••• · Chief Financial Officercontrol
since 03/2019 · owns less than 5%
P••••••• A•••••• R••••• · Chief Compliance Officer, Chief Operating Officer And G•••••• Counselcontrol
since 05/2014 · owns less than 5%
L••••••••• J•••••• M•••• · Membercontrol
since 12/2014 · owns 50% to 75% of H•••••• C•••••• G•••••• P••••••• L••
L••••••••• J•••• T• · Chief Executive Officercontrol
since 12/2014 · owns 50% to 75% of H•••••• C•••••• G•••••• P••••••• L••

Entity owners

H•••••• C•••••• G•••••• P••••••• L•• · G•••••• Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

H•••••• C••••••• L••
bankpooled vehicle sponsorn
H•••••• L••• G•• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 9 to 5
Mar 28, 2018 to Mar 28, 2019
Assets in custody · $2.2B to $1.0B
Mar 28, 2018 to Mar 28, 2019
Employees · 21 to 14
Mar 28, 2018 to Mar 28, 2019
Discretionary RAUM · $2.2B to $1.0B
Mar 28, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $2.2B to $1.0B
Mar 28, 2018 to Mar 28, 2019

Full history · 50 changes

RAUM · $2.2B to $1.0B
Mar 28, 2018 to Mar 28, 2019
Advisory employees · 13 to 9
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 6.0
Mar 30, 2017 to Mar 28, 2018
Assets in custody · $3.4B to $2.2B
Mar 30, 2017 to Mar 28, 2018
Employees · 33 to 21
Mar 30, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 28, 2018
Discretionary RAUM · $3.4B to $2.2B
Mar 30, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 2237459749.0
Mar 30, 2017 to Mar 28, 2018
RAUM · $3.4B to $2.2B
Mar 30, 2017 to Mar 28, 2018
Accounts · 2 to 6
Nov 10, 2016 to Mar 30, 2017
Advisory employees · 16 to 13
Nov 10, 2016 to Mar 30, 2017
Assets in custody · $4.4B to $3.4B
Nov 10, 2016 to Mar 30, 2017
Employees · 41 to 33
Nov 10, 2016 to Mar 30, 2017
Discretionary RAUM · $4.4B to $3.4B
Nov 10, 2016 to Mar 30, 2017
RAUM · $4.4B to $3.4B
Nov 10, 2016 to Mar 30, 2017
Private funds · 2 to 3
Mar 28, 2016 to Nov 10, 2016
Accounts · 3 to 2
Mar 27, 2015 to Mar 28, 2016
Advisory employees · 14 to 16
Mar 27, 2015 to Mar 28, 2016
Assets in custody · $5.3B to $4.4B
Mar 27, 2015 to Mar 28, 2016
Employees · 35 to 41
Mar 27, 2015 to Mar 28, 2016
Discretionary RAUM · $5.3B to $4.4B
Mar 27, 2015 to Mar 28, 2016
RAUM · $5.3B to $4.4B
Mar 27, 2015 to Mar 28, 2016
Advisory employees · 12 to 14
Jan 15, 2015 to Mar 27, 2015
Business name · H•••••• C•••••• M••••••••• L•• to H•••••• C•••••• M••••••••• L•••
Jan 15, 2015 to Mar 27, 2015
Assets in custody · $0 to $5.3B
Jan 15, 2015 to Mar 27, 2015
Custody of client assets · false to true
Jan 15, 2015 to Mar 27, 2015
Employees · 28 to 35
Jan 15, 2015 to Mar 27, 2015
Legal name · H•••••• C•••••• M••••••••• L•• to H•••••• C•••••• M••••••••• L•••
Jan 15, 2015 to Mar 27, 2015
Discretionary RAUM · $4.7B to $5.3B
Jan 15, 2015 to Mar 27, 2015
RAUM · $4.7B to $5.3B
Jan 15, 2015 to Mar 27, 2015
Succession · true to false
Jan 15, 2015 to Mar 27, 2015
Organization form · Limited Liability Company to Limited Partnership
May 16, 2014 to Jan 15, 2015
Succession · false to true
May 16, 2014 to Jan 15, 2015
Accounts · 2 to 3
Oct 23, 2013 to Mar 21, 2014
Advisory employees · 10 to 12
Oct 23, 2013 to Mar 21, 2014
Employees · 26 to 28
Oct 23, 2013 to Mar 21, 2014
Discretionary RAUM · $3.1B to $4.7B
Oct 23, 2013 to Mar 21, 2014
RAUM · $3.1B to $4.7B
Oct 23, 2013 to Mar 21, 2014
Employees · 25 to 26
Jan 31, 2013 to Mar 27, 2013
Discretionary RAUM · $2.9B to $3.1B
Jan 31, 2013 to Mar 27, 2013
RAUM · $2.9B to $3.1B
Jan 31, 2013 to Mar 27, 2013
Advisory employees · unset to 10.0
Jan 25, 2012 to Jan 31, 2013
BD registered reps · unset to 0.0
Jan 25, 2012 to Jan 31, 2013
Employees · unset to 25.0
Jan 25, 2012 to Jan 31, 2013
State-registered IARs · unset to 0.0
Jan 25, 2012 to Jan 31, 2013

Signals

5 dated events

••• Locked
Mar 28, 2019 · RAUM change · derived
••• Locked
Mar 28, 2019 · Control person left · inference
••• Locked
Mar 28, 2019 · Control person joined · fact
••• Locked
Mar 28, 2018 · RAUM change · derived
••• Locked
Jan 15, 2015 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026