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••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 159101SEC 801-74201IAPD
Latest filing Mar 30, 2023
First filing on the tape Feb 15, 2012 · 21 filings
RAUM
$638M
reported, Item 5.F
Discretionary
86%
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
2
beyond the principal office
Private funds
5
$177M gross assets
History
21 filings and snapshots on the tape
RAUM$638M as of Mar 30, 2023
Feb 25, 2013$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Feb 25, 20130 then
Employees (5.A)4 as of Mar 30, 2023
Feb 25, 201335 then
Private funds5 as of Mar 30, 2023
Feb 25, 20133 then
RAUM -74% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$49.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-74%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • 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
  • Investment companies$374M59%
  • Pooled investment vehicles$177M28%
  • Sovereign wealth funds$87.0M14%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• L•••no longer reportedHedge Fund$1.2B113Feb 15, 2012
      H•••••••• T••••••••• M••••• F•••• L•••Hedge Fund$162M27Nov 16, 2020
      H•••••••• L••• O••••••• M••••• F•••• L•••no longer reportedHedge Fund$19.6M7Feb 15, 2012
      H•••••••• M••••• N•••••• M••••• F•••• L•••no longer reportedHedge Fund$14.9M7Mar 29, 2019
      H•••••••• H••••• O••••••• M••••• F•••• L•••Hedge Fund$9.6M19Feb 15, 2012
      H•••••••• S••••••• O••••••• M••••• F•••• L•••Hedge Fund$3.6M2Mar 30, 2017
      H•••••••• O••••••• M••••• F•••• L•••Hedge Fund$1.8M21Feb 15, 2012
      H•••••••• C•••••••• S••••••• M••••• F•••• L••Hedge Fund$00Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• A•••••• B•••• · Partner And Co-Ceo, Chief Compliance Officercontrol
        since 09/2005 · owns 50% to 75%
      • H•••••• J•••••• P•••••• · Partner And Co-Ceocontrol
        since 09/2005 · owns 50% to 75%
      • C••••• A•••••• B•••• · Managing Membercontrol
        since 09/2005 · owns 50% to 75% of H•••••••• A••••••••• L••
      • H•••••• J•••••• P•••••• · Managing Membercontrol
        since 09/2005 · owns 50% to 75% of H•••••••• A••••••••• L••
      Entity owners
      • H•••••••• A••••••••• L•• · General Partner Of H•••••••• Management, LP
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••••••• C••••••• L•••
        bankpooled vehicle sponsorn
      • H•••••••• H••••• O••••••• G•• L••
        bankpooled vehicle sponsorn
      • H•••••••• O••••••• G•• L••
        bankpooled vehicle sponsorn
      • H•••••••• O••••••• I•• G•• L••
        bankpooled vehicle sponsorn
      • H•••••••• P••••••• I•• L•••
        pooled vehicle sponsorn
      • H•••••••• P••••••• M••••••••• G•• L••
        pooled vehicle sponsorn
      • H•••••••• P••••••• M••••••••• L•••
        investment advisernRAUM $214M
      • H•••••••• T••••••••• G•• L••
        bankpooled vehicle sponsorn
      Advisers that list H•••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Norwalk, CT1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 13
        Jan 4, 2023 to Mar 30, 2023
      • Advisory employees · 11 to 2
        Jan 4, 2023 to Mar 30, 2023
      • Assets in custody · 3405059652.0 to unset
        Jan 4, 2023 to Mar 30, 2023
      • Custody of client assets · true to false
        Jan 4, 2023 to Mar 30, 2023
      • Employees · 21 to 4
        Jan 4, 2023 to Mar 30, 2023
      • Discretionary RAUM · $2.4B to $551M
        Jan 4, 2023 to Mar 30, 2023
      • Non-discretionary RAUM · $83.0M to $87.0M
        Jan 4, 2023 to Mar 30, 2023
      • Pooled vehicle RAUM · $599M to $177M
        Jan 4, 2023 to Mar 30, 2023
      • RAUM · $2.5B to $638M
        Jan 4, 2023 to Mar 30, 2023
      • Accounts · 16 to 14
        Feb 2, 2022 to Mar 31, 2022
      • Advisory employees · 14 to 11
        Feb 2, 2022 to Mar 31, 2022
      • Employees · 27 to 21
        Feb 2, 2022 to Mar 31, 2022
      • Discretionary RAUM · $3.4B to $2.4B
        Feb 2, 2022 to Mar 31, 2022
      • Non-discretionary RAUM · $71.6M to $83.0M
        Feb 2, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.4B to $599M
        Feb 2, 2022 to Mar 31, 2022
      • RAUM · $3.5B to $2.5B
        Feb 2, 2022 to Mar 31, 2022
      • Accounts · 15 to 16
        Nov 16, 2020 to Mar 30, 2021
      • Advisory employees · 13 to 14
        Nov 16, 2020 to Mar 30, 2021
      • Assets in custody · $4.4B to $3.4B
        Nov 16, 2020 to Mar 30, 2021
      • Employees · 29 to 27
        Nov 16, 2020 to Mar 30, 2021
      • Private funds · 6 to 5
        Nov 16, 2020 to Mar 30, 2021
      • Discretionary RAUM · $4.4B to $3.4B
        Nov 16, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $78.4M to $71.6M
        Nov 16, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.9B to $1.4B
        Nov 16, 2020 to Mar 30, 2021
      • RAUM · $4.5B to $3.5B
        Nov 16, 2020 to Mar 30, 2021
      • Private funds · 5 to 6
        Mar 30, 2020 to Nov 16, 2020
      • Accounts · 13 to 15
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 14 to 13
        Mar 29, 2019 to Mar 30, 2020
      • Pension plan clients · 2.0 to unset
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 7 to 10
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $4.2B to $4.4B
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 30 to 29
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $4.2B to $4.4B
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $0 to $78.4M
        Mar 29, 2019 to Mar 30, 2020
      • Pension RAUM · 371384591.0 to unset
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.0B to $1.9B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $4.2B to $4.5B
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 10 to 13
        Jan 24, 2019 to Mar 29, 2019
      • Advisory employees · 13 to 14
        Jan 24, 2019 to Mar 29, 2019
      • Pension plan clients · unset to 2.0
        Jan 24, 2019 to Mar 29, 2019
      Signals
      10 dated events
      • Christine Clarke (Chief Financial Officer) no longer on Schedule A of H•••••••• M••••••••• L••• (listed 2023-01-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • H•••••••• M••••••••• L••• reported RAUM $637.6M, down 74% from $2.5B (2023-01-04 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • K••••••• L••••• H••••• (Chief Compliance Officer) no longer on Schedule A of H•••••••• M••••••••• L••• (listed 2023-01-04, absent 2023-03-30)
        Mar 30, 2023 · Control person left · inference
      • H•••••••• M••••••••• L••• reported RAUM $2.5B, down 28% from $3.5B (2022-02-02 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Cullen John Doherty (General Counsel And Chief Compliance Officer) no longer on Schedule A of H•••••••• M••••••••• L••• (listed 2021-08-17, absent 2022-02-02)
        Feb 2, 2022 · Control person left · inference
      • K••••••• L••••• H••••• (Chief Compliance Officer) appeared on Schedule A of H•••••••• M••••••••• L•••
        Feb 2, 2022 · Control person joined · fact
      • Cullen John Doherty (General Counsel And Chief Compliance Officer) appeared on Schedule A of H•••••••• M••••••••• L•••
        Aug 17, 2021 · Control person joined · fact
      • Daniel Avi Horev (Senior Partner, Portfolio Manager) no longer on Schedule A of H•••••••• M••••••••• L••• (listed 2021-03-30, absent 2021-08-17)
        Aug 17, 2021 · Control person left · inference
      • Perez Anabelle Gray (Chief Compliance Officer And General Counsel) no longer on Schedule A of H•••••••• M••••••••• L••• (listed 2021-03-30, absent 2021-08-17)
        Aug 17, 2021 · Control person left · inference
      • H•••••••• M••••••••• L••• reported RAUM $4.4B, up 36% from $3.3B (2017-04-28 to 2018-03-29)
        Mar 29, 2018 · 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.
      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