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•••••• A••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 158670SEC 801-76464IAPD
Latest filing Sep 19, 2013
First filing on the tape Apr 4, 2012 · 7 filings
RAUM
$103M
reported, Item 5.F
Discretionary
47%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$103M gross assets
History
7 filings and snapshots on the tape
RAUM$103M as of Sep 19, 2013
Apr 4, 2012$84.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 19, 2013
Dec 21, 20120 then
Employees (5.A)2 as of Sep 19, 2013
Dec 21, 20122 then
Private funds2 as of Sep 19, 2013
Apr 4, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 19, 2013; 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
$51.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
47%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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$103M, 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)
  • 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
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$103M for 2 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M•••••• · Managing Principalcontrol
        since 09/2011 · owns less than 5%
      • C•••••• S••••• A•••••• · Managing Principalcontrol
        since 09/2011 · owns 10% to 25%
      • G•••••••• A•••• · Chief Financial Officercontrol
        since 09/2011 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relationscontrol
        since 09/2011 · owns less than 5%
      • H••••••••• T•••••• P••• · Managing Principal And Chief Operating Officercontrol
        since 09/2011 · owns less than 5%
      • K•••••• K••••• R••• · Managing Principalcontrol
        since 09/2011 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer And Associate General Counselcontrol
        since 09/2011 · owns less than 5%
      • M••••• M•••••• K•••• · General Counselcontrol
        since 09/2011 · owns less than 5%
      • S••••• R••• A••••••• · Managing Principalcontrol
        since 09/2011 · owns 10% to 25%
      • B••••• J•••• M•••••• · Managing Principalcontrol
        since 12/2012 · owns 25% to 50% of H•••••• M••••••••• P••••••• L•
      Entity owners
      • H•••••• A••••• G• L•• · General Partner
        direct · owns 50% to 75%
      • H•••••• L••••••••• M••••••••• L• · Member
        indirect · owns 75% or more of H•••••• A••••• G• L••
      • H•••••• M••••••••• H••••••• L• · Limited Partner
        indirect · owns 75% or more of H•••••• L••••••••• M••••••••• L•
      • H•••••• M••••••••• P••••••• L• · Limited Partner
        indirect · owns 75% or more of H•••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• A••••• M••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $82.3M to $103M
        Apr 1, 2013 to Aug 19, 2013
      • Discretionary RAUM · $39.0M to $48.9M
        Apr 1, 2013 to Aug 19, 2013
      • Non-discretionary RAUM · $43.3M to $54.3M
        Apr 1, 2013 to Aug 19, 2013
      • RAUM · $82.3M to $103M
        Apr 1, 2013 to Aug 19, 2013
      • Assets in custody · $0 to $82.3M
        Dec 21, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Dec 21, 2012 to Apr 1, 2013
      • Discretionary RAUM · $41.6M to $39.0M
        Dec 21, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $46.1M to $43.3M
        Dec 21, 2012 to Apr 1, 2013
      • RAUM · $87.7M to $82.3M
        Dec 21, 2012 to Apr 1, 2013
      • Advisory employees · unset to 2.0
        Sep 17, 2012 to Dec 21, 2012
      • BD registered reps · unset to 0.0
        Sep 17, 2012 to Dec 21, 2012
      • Employees · unset to 2.0
        Sep 17, 2012 to Dec 21, 2012
      • State-registered IARs · unset to 0.0
        Sep 17, 2012 to Dec 21, 2012
      • Discretionary RAUM · $44.1M to $41.6M
        Sep 17, 2012 to Dec 21, 2012
      • Non-discretionary RAUM · $48.8M to $46.1M
        Sep 17, 2012 to Dec 21, 2012
      • RAUM · $92.9M to $87.7M
        Sep 17, 2012 to Dec 21, 2012
      • Business name · H•••••• A••••• M•••••••• L• to H•••••• A••••• M••••••••• L•
        Apr 4, 2012 to Sep 17, 2012
      • Legal name · H•••••• A••••• M•••••••• L• to H•••••• A••••• M••••••••• L•
        Apr 4, 2012 to Sep 17, 2012
      • Discretionary RAUM · $40.0M to $44.1M
        Apr 4, 2012 to Sep 17, 2012
      • Non-discretionary RAUM · $44.0M to $48.8M
        Apr 4, 2012 to Sep 17, 2012
      • RAUM · $84.0M to $92.9M
        Apr 4, 2012 to Sep 17, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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