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••• • C•• P•••••••• L•••

Former SEC-registered adviserDallas, TexasCRD 157227SEC 801-73338IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 10, 2012 · 10 filings
RAUM
$160M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
11
$160M gross assets
History
10 filings and snapshots on the tape
RAUM$160M as of Mar 30, 2017
Mar 28, 2013$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)6 as of Mar 30, 2017
Mar 28, 201315 then
Private funds11 as of Mar 30, 2017
Mar 28, 201326 then
RAUM -32% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$14.5MderivedRAUM 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
-32%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
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
  • 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)
  • 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
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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      27 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• M•••• T••• • F•••• E••••• F••• V• L•no longer reportedPrivate Equity Fund$121M48Feb 10, 2012
      H••••• M•••• T••• • F•••• E••••• F••• I•• L•Private Equity Fund$66.0M96Feb 10, 2012
      H••••• M•••• T••• • F•••• E••••• F••• L•no longer reportedPrivate Equity Fund$50.0M56Feb 10, 2012
      H••••• M•••• T••• • F•••• E••••• F••• I• L•Private Equity Fund$17.8M130Feb 10, 2012
      S••••• P••••••••• F••• L•no longer reportedPrivate Equity Fund$10.3M48Feb 10, 2012
      S•••••••• C•••••• P••••••• L•no longer reportedPrivate Equity Fund$8.3M21Feb 10, 2012
      H• P• E••••• F••• I• C•no longer reportedPrivate Equity Fund$3.7M3Feb 10, 2012
      H••••• M•••• T••• • F•••• L•••• A•••••• F••• L•Private Equity Fund$3.4M48Feb 10, 2012
      H• 5•• C••••••••• L•no longer reportedPrivate Equity Fund$2.5M37Feb 10, 2012
      H••• 1•••• C••••••••• L•no longer reportedPrivate Equity Fund$1.5M4Feb 10, 2012
      H•••••• C••••••••• L•no longer reportedPrivate Equity Fund$1.3M4Feb 10, 2012
      H••••• M••• P•••• ••••• C•Private Equity Fund$949,8673Feb 10, 2012
      H•• C••••••••• L•Private Equity Fund$936,06870Feb 10, 2012
      H••• 1••• C••••••••• L•no longer reportedPrivate Equity Fund$814,88318Feb 10, 2012
      S•• B•••• C••••••• L•no longer reportedPrivate Equity Fund$737,0443Feb 10, 2012
      H••••• M•••• T••• • F•••• L•••• A•••••• P•••••• F••• L•Private Equity Fund$618,01921Feb 10, 2012
      H••••• M•••• T••• • F•••• E••••• P•••••• F••• L•no longer reportedPrivate Equity Fund$602,60816Feb 10, 2012
      H••••• M•••• T••• • F•••• L•••• A•••••• F••• I• L•Private Equity Fund$416,4675Feb 10, 2012
      H• 4••• C••••••••• L•Private Equity Fund$361,26444Feb 10, 2012
      S•• S•• L•no longer reportedPrivate Equity Fund$274,17123Feb 10, 2012
      H••• 1•••• C••••••••• L•Private Equity Fund$212,6373Feb 10, 2012
      H••••• M•••• T••• • F•••• P•••••• E••••• F••• I• L•Private Equity Fund$126,39821Feb 10, 2012
      H••••• M•••• T••• • F•••• E••••• F••• I• L•no longer reportedPrivate Equity Fund$82,97661Feb 10, 2012
      H• 4•• ••••• C••••••••• L•Private Equity Fund$78,37235Mar 25, 2014
      H• 5•• C••••••••• L•no longer reportedPrivate Equity Fund$00Feb 10, 2012
      H••• 2•• C••••••••• C••••• L•no longer reportedPrivate Equity Fund$00Feb 10, 2012
      H• U••••• C••••••• L•no longer reportedPrivate Equity Fund$00Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• D••••• W•••••• · Vice President, Chief Financial Officer And Secretarycontrol
        since 01/2006 · owns less than 5%
      • M•••• J•••• R••••••• · Partner And President Of H••••, M••• & Co. Partners, LPcontrol
        since 01/2005 · owns 25% to 50%
      • N•••••• W••••••• G••••• · Treasurer, Chief Compliance Officer And Assistant Secretarycontrol
        since 01/2005 · owns less than 5%
      • M•••• J•••• R••••••• · Shareholdercontrol
        since 12/1993 · owns 50% to 75% of H• P••••••• I•••
      • B••••••• P••••• S••••• · Partner Of H••••, M••• & Co. Partners LP
        since 01/2002 · owns 5% to 10%
      • C••••••••• J•••••• V••••• · Partner Of H••••, M••• & Co. Partners LP
        since 01/2003 · owns 5% to 10%
      • F••••• J•••• D•••••• · Partner Of H••••, M••• & Co. Partners LP
        since 12/1993 · owns 10% to 25%
      • H••••• T•••••• O•••• · Partner Of H••••, M••• & Co. Partners LP
        since 12/1993 · owns 10% to 25%
      • N•••••• E•••• C•••••• · Partner Of H••••, M••• & Co. Partners LP
        since 01/2002 · owns 5% to 10%
      • R••••• A•••••• S•••• · Partner Of H••••, M••• & Co. Partners LP
        since 01/2003 · owns 5% to 10%
      • F••••• J•••• D•••••• · Shareholder
        since 12/1993 · owns 25% to 50% of H• P••••••• I•••
      Entity owners
      • H• P••••••• I••• · General Partner Of H••••, M••• & Co. Partners LP
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••• M••• G• ••••• P••••••• I•• L•••
        pooled vehicle sponsorn
      • H••••• M••• G• P••••••• I••• L•••
        pooled vehicle sponsorn
      • H••••• M••• G• P••••••• I•• L•••
        pooled vehicle sponsorn
      • H••••• M••• G• P••••••• L•••• L•••
        pooled vehicle sponsorn
      • H••••• M••• L•••• A•••••• • C•• L•
        pooled vehicle sponsorn
      • H• E••••• F••• I•••• P••••••• ••••• C•
        pooled vehicle sponsorn
      • H••••• P••••••• L•
        pooled vehicle sponsorn
      • H•• P••••••• L•
        pooled vehicle sponsorn
      • H••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 28, 2016 to Mar 30, 2017
      • Discretionary RAUM · $237M to $160M
        Mar 28, 2016 to Mar 30, 2017
      • RAUM · $237M to $160M
        Mar 28, 2016 to Mar 30, 2017
      • Related adviser · true to false
        Mar 28, 2016 to Mar 30, 2017
      • Related bank · true to false
        Mar 28, 2016 to Mar 30, 2017
      • Advisory activities · 1 to 2
        Apr 27, 2015 to Mar 28, 2016
      • Assets in custody · unset to 0.0
        Apr 27, 2015 to Mar 28, 2016
      • Discretionary RAUM · $760M to $237M
        Apr 27, 2015 to Mar 28, 2016
      • RAUM · $760M to $237M
        Apr 27, 2015 to Mar 28, 2016
      • Advisory employees · 9 to 3
        Sep 10, 2014 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        Sep 10, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Sep 10, 2014 to Mar 31, 2015
      • Employees · 15 to 6
        Sep 10, 2014 to Mar 31, 2015
      • Discretionary RAUM · $733M to $760M
        Sep 10, 2014 to Mar 31, 2015
      • RAUM · $733M to $760M
        Sep 10, 2014 to Mar 31, 2015
      • Accounts · 14 to 11
        Mar 25, 2014 to Sep 10, 2014
      • Business name · H• C•••••• P••••••• I• L• to H••••• M••• • C•• P•••••••• L•••
        Mar 25, 2014 to Sep 10, 2014
      • Legal name · H• C•••••• P••••••• I• L• to H••••• M••• • C•• P•••••••• L•••
        Mar 25, 2014 to Sep 10, 2014
      • Private funds · 14 to 11
        Mar 25, 2014 to Sep 10, 2014
      • Discretionary RAUM · $800M to $733M
        Mar 25, 2014 to Sep 10, 2014
      • RAUM · $800M to $733M
        Mar 25, 2014 to Sep 10, 2014
      • Accounts · 24 to 14
        Aug 23, 2013 to Mar 25, 2014
      • Advisory employees · 8 to 9
        Aug 23, 2013 to Mar 25, 2014
      • Assets in custody · unset to 0.0
        Aug 23, 2013 to Mar 25, 2014
      • Custody of client assets · false to true
        Aug 23, 2013 to Mar 25, 2014
      • Private funds · 26 to 14
        Aug 23, 2013 to Mar 25, 2014
      • Discretionary RAUM · $1.0B to $800M
        Aug 23, 2013 to Mar 25, 2014
      • RAUM · $1.0B to $800M
        Aug 23, 2013 to Mar 25, 2014
      • Accounts · 27 to 24
        Feb 10, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Feb 10, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Mar 28, 2013
      • Employees · unset to 15.0
        Feb 10, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Mar 28, 2013
      • Private funds · 27 to 26
        Feb 10, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.3B to $1.0B
        Feb 10, 2012 to Mar 28, 2013
      • RAUM · $1.3B to $1.0B
        Feb 10, 2012 to Mar 28, 2013
      • Related adviser · false to true
        Feb 10, 2012 to Mar 28, 2013
      • Related bank · false to true
        Feb 10, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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