DFX Intelligence
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SEC-registered adviser
H•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 26 filings
SEC status approved since Mar 22, 2012
RAUM
$313M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$313M as of Mar 31, 2026
Apr 1, 2013$965M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)4 as of Mar 31, 2026
Apr 1, 20137 then
Private funds1 as of Mar 31, 2026
Apr 1, 20131 then
RAUM -2.6% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $78.2MderivedRAUM 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
- -2.6%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 pooled vehiclesreportedItem 5.G
- Custody
- $313M, 4 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$313M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $313M for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• C•••••• M••••• | Hedge Fund | $383M | 72 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••• R••••••• A••• · Managing Member, Chief Compliance Officercontrolsince 12/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $290M to $313MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $321M to $313MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $321M to $313MMar 31, 2025 to Mar 31, 2026
- RAUM · $321M to $313MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $299M to $290MMar 28, 2024 to Mar 31, 2025
- Employees · 5 to 4Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $383M to $321MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $383M to $321MMar 28, 2024 to Mar 31, 2025
- RAUM · $383M to $321MMar 28, 2024 to Mar 31, 2025
- Assets in custody · $514M to $299MJan 30, 2024 to Mar 28, 2024
- Discretionary RAUM · $514M to $383MJan 30, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $514M to $383MJan 30, 2024 to Mar 28, 2024
- RAUM · $514M to $383MJan 30, 2024 to Mar 28, 2024
- Advisory employees · 4 to 3Sep 19, 2022 to Mar 22, 2023
- Assets in custody · $579M to $514MSep 19, 2022 to Mar 22, 2023
- Employees · 6 to 5Sep 19, 2022 to Mar 22, 2023
- Discretionary RAUM · $579M to $514MSep 19, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $579M to $514MSep 19, 2022 to Mar 22, 2023
- RAUM · $579M to $514MSep 19, 2022 to Mar 22, 2023
- Assets in custody · $590M to $579MOct 22, 2021 to Mar 30, 2022
- Discretionary RAUM · $590M to $579MOct 22, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $590M to $579MOct 22, 2021 to Mar 30, 2022
- RAUM · $590M to $579MOct 22, 2021 to Mar 30, 2022
- Other offices · 1 to 0Mar 19, 2021 to Apr 28, 2021
- Advisory employees · 3 to 4Mar 25, 2020 to Mar 19, 2021
- Assets in custody · $637M to $590MMar 25, 2020 to Mar 19, 2021
- Employees · 5 to 6Mar 25, 2020 to Mar 19, 2021
- Discretionary RAUM · $637M to $590MMar 25, 2020 to Mar 19, 2021
- Pooled vehicle RAUM · $637M to $590MMar 25, 2020 to Mar 19, 2021
- RAUM · $637M to $590MMar 25, 2020 to Mar 19, 2021
- Assets in custody · $672M to $637MMar 27, 2019 to Mar 25, 2020
- Employees · 6 to 5Mar 27, 2019 to Mar 25, 2020
- Discretionary RAUM · $672M to $637MMar 27, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $672M to $637MMar 27, 2019 to Mar 25, 2020
- RAUM · $672M to $637MMar 27, 2019 to Mar 25, 2020
- Assets in custody · $901M to $672MFeb 12, 2019 to Mar 27, 2019
- Discretionary RAUM · $901M to $672MFeb 12, 2019 to Mar 27, 2019
- Pooled vehicle RAUM · $901M to $672MFeb 12, 2019 to Mar 27, 2019
Signals
4 dated events
- H•••••• C•••••• M••••••••• L•• reported RAUM $383.0M, down 25% from $513.7M (2024-01-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Diane Denise Alfieri (Chief Compliance Officer) no longer on Schedule A of H•••••• C•••••• M••••••••• L•• (listed 2023-09-12, absent 2024-01-30)Jan 30, 2024 · Control person left · inference
- Diane Denise Alfieri (Chief Compliance Officer) appeared on Schedule A of H•••••• C•••••• M••••••••• L••Oct 22, 2021 · Control person joined · fact
- H•••••• C•••••• M••••••••• L•• reported RAUM $672.4M, down 25% from $901.2M (2019-02-12 to 2019-03-27)Mar 27, 2019 · 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
- Website
- H••••••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-265-0565reportedpublic 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
- 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