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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SEC-registered adviser
H••••••• C••••••
Legal name H••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Nov 4, 2011
RAUM
$21B
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
21
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$21B as of Mar 31, 2026
Mar 29, 2012$338M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)21 as of Mar 31, 2026
Apr 30, 20135 then
Private funds1 as of Mar 31, 2026
Mar 29, 20123 then
RAUM +24% 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
- $11BderivedRAUM 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
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $21B, 2 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$21B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21B for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• C•••••• I••••••••• L••• | Hedge Fund | $15B | 547 | Mar 29, 2012 |
| H••••••• C•••••• V••••••• I•• L•••no longer reported | Venture Capital Fund | $5.7M | 20 | Mar 29, 2012 |
| H••••••• C•••••• V••••••• L••••••••• L•••no longer reported | Venture Capital Fund | $2.1M | 40 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• G•••• J••• · Chief Operating Officercontrolsince 09/2008 · owns less than 5%
- L•• L•• N•• · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- L•• L•• •••• · Chairman And Managing Membercontrolsince 01/1998 · owns 75% or more
- T•••• P•••• L••••••• · Chief Compliance Officercontrolsince 07/2019 · owns less than 5%
Related persons
Schedule D 7.A
- L• G•••• ••••••••• L••investment adviserbankpooled vehicle sponsorn
- L• G••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA2 employees
What changed
consecutive filings, newest first
- Advisory employees · 18 to 15Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $17B to $21BMar 31, 2025 to Mar 31, 2026
- Employees · 20 to 21Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $17B to $21BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $17B to $21BMar 31, 2025 to Mar 31, 2026
- RAUM · $17B to $21BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 15 to 18Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $15B to $17BMar 28, 2024 to Mar 31, 2025
- Employees · 19 to 20Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $15B to $17BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $15B to $17BMar 28, 2024 to Mar 31, 2025
- RAUM · $15B to $17BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 16 to 15Mar 31, 2023 to Mar 28, 2024
- Assets in custody · $14B to $15BMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $14B to $15BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $14B to $15BMar 31, 2023 to Mar 28, 2024
- RAUM · $14B to $15BMar 31, 2023 to Mar 28, 2024
- Related adviser · false to trueMar 31, 2023 to Mar 28, 2024
- Advisory employees · 15 to 16Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $19B to $14BMar 31, 2022 to Mar 31, 2023
- Employees · 18 to 19Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $19B to $14BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $19B to $14BMar 31, 2022 to Mar 31, 2023
- RAUM · $19B to $14BMar 31, 2022 to Mar 31, 2023
- Assets in custody · $19B to $19BMar 30, 2021 to Mar 31, 2022
- Employees · 17 to 18Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $19B to $19BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $19B to $19BMar 30, 2021 to Mar 31, 2022
- RAUM · $19B to $19BMar 30, 2021 to Mar 31, 2022
- Advisory employees · 10 to 15Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $14B to $19BMar 27, 2020 to Mar 30, 2021
- Employees · 13 to 17Mar 27, 2020 to Mar 30, 2021
- Other offices · 0 to 1Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $14B to $19BMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $14B to $19BMar 27, 2020 to Mar 30, 2021
- RAUM · $14B to $19BMar 27, 2020 to Mar 30, 2021
- Advisory employees · 11 to 10Nov 6, 2019 to Mar 27, 2020
- Assets in custody · $8.3B to $14BNov 6, 2019 to Mar 27, 2020
- Employees · 14 to 13Nov 6, 2019 to Mar 27, 2020
Signals
5 dated events
- H••••••• C•••••• reported RAUM $18.6B, up 34% from $13.9B (2020-03-27 to 2021-03-30)Mar 30, 2021 · ria raum c••••e · derived
- Nmn Li Li (Chief Financial Officer) appeared on Schedule A of H••••••• C••••••Mar 30, 2021 · Control person joined · fact
- H••••••• C•••••• reported RAUM $13.9B, up 67% from $8.3B (2019-11-06 to 2020-03-27)Mar 27, 2020 · ria raum c••••e · derived
- Lung-Fei Paul Teng (Chief Compliance Officer) appeared on Schedule A of H••••••• C••••••Nov 6, 2019 · Control person joined · fact
- H••••••• C•••••• reported RAUM $9.2B, up 112% from $4.4B (2017-03-30 to 2018-03-09)Mar 9, 2018 · ria raum c••••e · derived
Across DFX
shared identifiers only, never a name match
- H••••••• C•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/himalaya-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (206) 707-0768reportedpublic 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