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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
H•••••••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 30, 2012
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$163M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$254M as of Mar 31, 2026
Mar 26, 2013$313M then
HNW client RAUM$163M as of Mar 31, 2026
Mar 20, 2018$104M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 26, 20130 then
Employees (5.A)5 as of Mar 31, 2026
Mar 26, 20135 then
Private funds1 as of Mar 31, 2026
Mar 26, 20132 then
RAUM -22% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- 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
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $9.1MderivedRAUM 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
- -22%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$163M64%
- Pooled investment vehicles$90.3M36%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 28reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.64 fund_share=0.36 institutional_share=0.0 related_bd=false related_bank=false 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••• I••••• F••• L••• | Other Private Fund | $72.6M | 38 | Feb 14, 2012 |
| H•••• T•••• R••••• F••• L•••no longer reported | Other Private Fund | $4.1M | 1 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• H••••• R••••••• · Managing Partnercontrolsince 12/2007 · owns 75% or more
- B••••• O•••• I• · Partnercontrolsince 03/2015 · owns less than 5%
- S••••• J••••••• J••••• · Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- B••••• H••••• R••••••• · Managing Membercontrolsince 01/2008 · owns 75% or more of H•••••••• M••••••••• L••
Entity owners
- H•••••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H•••• H•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 31, 2026peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 46.0% to 64.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 46.0% to 64.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 25.0% to 0.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 30 to 28Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 3 to 2Mar 31, 2025 to Mar 31, 2026
- HNW clients · 28 to 27Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $324M to $254MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $149M to $163MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $92.3M to $90.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $324M to $254MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $266M to $324MMar 22, 2024 to Mar 31, 2025
- HNW RAUM · $122M to $149MMar 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $70.7M to $92.3MMar 22, 2024 to Mar 31, 2025
- RAUM · $266M to $324MMar 22, 2024 to Mar 31, 2025
- Accounts · 31 to 30Mar 24, 2023 to Mar 22, 2024
- HNW clients · 29 to 28Mar 24, 2023 to Mar 22, 2024
- Discretionary RAUM · $271M to $266MMar 24, 2023 to Mar 22, 2024
- HNW RAUM · $133M to $122MMar 24, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $67.8M to $70.7MMar 24, 2023 to Mar 22, 2024
- RAUM · $271M to $266MMar 24, 2023 to Mar 22, 2024
- Accounts · 28 to 31Apr 28, 2022 to Mar 24, 2023
- HNW clients · 26 to 29Apr 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $246M to $271MApr 28, 2022 to Mar 24, 2023
- HNW RAUM · $115M to $133MApr 28, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $58.7M to $67.8MApr 28, 2022 to Mar 24, 2023
- RAUM · $246M to $271MApr 28, 2022 to Mar 24, 2023
- Accounts · 29 to 28Mar 24, 2021 to Mar 31, 2022
- HNW clients · 27 to 26Mar 24, 2021 to Mar 31, 2022
- Employees · 6 to 5Mar 24, 2021 to Mar 31, 2022
- Discretionary RAUM · $209M to $246MMar 24, 2021 to Mar 31, 2022
- HNW RAUM · $99.5M to $115MMar 24, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $7.2M to $0Mar 24, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $56.9M to $58.7MMar 24, 2021 to Mar 31, 2022
- RAUM · $216M to $246MMar 24, 2021 to Mar 31, 2022
- Discretionary RAUM · $271M to $209MJun 25, 2020 to Mar 24, 2021
- HNW RAUM · $119M to $99.5MJun 25, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $10.3M to $7.2MJun 25, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $100M to $56.9MJun 25, 2020 to Mar 24, 2021
- RAUM · $282M to $216MJun 25, 2020 to Mar 24, 2021
- Discretionary RAUM · $272M to $271MOct 14, 2019 to Mar 17, 2020
- HNW RAUM · $118M to $119MOct 14, 2019 to Mar 17, 2020
- Non-discretionary RAUM · $10.8M to $10.3MOct 14, 2019 to Mar 17, 2020
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- H•••••••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business email
- i•••@h••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-751-1730reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H••••MGMT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-601-5333reportedpublic record, Form ADV, Mar 31, 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
- Independent wealth managerderiveda 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