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•••••• M••••••••• L•••

Former SEC-registered adviserCambridge, MassachusettsCRD 157188SEC 801-74163IAPD
Latest filing Mar 31, 2022
First filing on the tape Feb 14, 2012 · 17 filings
RAUM
$199M
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
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$199M gross assets
History
17 filings and snapshots on the tape
RAUM$199M as of Mar 31, 2022
Mar 26, 2013$273M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 26, 20130 then
Employees (5.A)4 as of Mar 31, 2022
Mar 26, 201329 then
Private funds1 as of Mar 31, 2022
Mar 26, 20131 then
RAUM +28% over the last fiscal year-2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$199MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+28%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
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)
  • 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
  • Pooled investment vehicles$199M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
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
      C•••••• C•••••• P••••••• I••• L•••Private Equity Fund$59.4M66Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•• J••••••••• N•• · Managing Partner, Founder, Managing Membercontrol
        since 02/2005 · owns 75% or more
      • M•••••• I••• M•••••••• · Partner & Chief Compliance Officercontrol
        since 05/2009 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • C•••••• V••••••• M••••••••• L•••
        investment adviserpooled vehicle sponsorn
      • C•••••• V•••••••• L•••
        investment advisernRAUM $35.2M
      Advisers that list H• C•••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Taipei, Taiwan, Republic of China1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 4
        Dec 2, 2021 to Mar 31, 2022
      • Employees · 10 to 4
        Dec 2, 2021 to Mar 31, 2022
      • HQ city · SAN FRANCISCO to CAMBRIDGE
        Dec 2, 2021 to Mar 31, 2022
      • HQ state · CA to MA
        Dec 2, 2021 to Mar 31, 2022
      • Discretionary RAUM · $156M to $199M
        Dec 2, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $156M to $199M
        Dec 2, 2021 to Mar 31, 2022
      • RAUM · $156M to $199M
        Dec 2, 2021 to Mar 31, 2022
      • Advisory employees · 11 to 7
        Feb 9, 2021 to Mar 30, 2021
      • Employees · 12 to 10
        Feb 9, 2021 to Mar 30, 2021
      • Discretionary RAUM · $193M to $156M
        Feb 9, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $193M to $156M
        Feb 9, 2021 to Mar 30, 2021
      • RAUM · $193M to $156M
        Feb 9, 2021 to Mar 30, 2021
      • Discretionary RAUM · $215M to $193M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $215M to $193M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $215M to $193M
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 13 to 12
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $259M to $215M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $259M to $215M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $259M to $215M
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 11
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 12 to 13
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $239M to $259M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 259460000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $239M to $259M
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 6
        Jan 25, 2017 to Mar 31, 2017
      • Employees · 10 to 12
        Jan 25, 2017 to Mar 31, 2017
      • Discretionary RAUM · $242M to $239M
        Jan 25, 2017 to Mar 31, 2017
      • RAUM · $242M to $239M
        Jan 25, 2017 to Mar 31, 2017
      • Advisory employees · 10 to 5
        Mar 30, 2016 to Jan 25, 2017
      • Employees · 19 to 10
        Mar 30, 2016 to Jan 25, 2017
      • HQ city · BRISBANE to SAN FRANCISCO
        Mar 30, 2016 to Jan 25, 2017
      • Advisory employees · 16 to 10
        Nov 24, 2015 to Mar 30, 2016
      • Employees · 21 to 19
        Nov 24, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • Nmn Yintung Chen (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of H• C•••••• M••••••••• L••• (listed 2020-03-30, absent 2021-02-09)
        Feb 9, 2021 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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