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Former SEC-registered adviser

H••••• M••••• C•••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 159775SEC 801-78296IAPD
Latest filing Nov 7, 2016
First filing on the tape Jun 27, 2013 · 5 filings
RAUM
$256M
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
7
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$425M gross assets
History
5 filings and snapshots on the tape
RAUM$206M as of Mar 29, 2016
Mar 28, 2014$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 28, 20140 then
Employees (5.A)7 as of Mar 29, 2016
Mar 28, 20144 then
Private funds3 as of Mar 29, 2016
Mar 28, 20142 then
RAUM +64% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 7, 2016; 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
$51.2MderivedRAUM 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
+32%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 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• M••••• A••••• F•••• L•Hedge Fund$125M18Mar 30, 2012
      H••••• M••••• C•••••• O••••••••• L•Hedge Fund$81.3M33Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• M•••• G••••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • S••••• R••• · Limited Partnercontrol
        since 03/2008 · owns 25% to 50%
      • S••••••••• S••••• · Limited Partnercontrol
        since 03/2008 · owns 25% to 50%
      • C••••••• M••••• · Managing Membercontrol
        since 04/2011 · owns 50% to 75% of C•••• P•••••••• L••
      • C••••••• P•••• · Membercontrol
        since 04/2011 · owns 25% to 50% of C•••• P•••••••• L••
      • S••••• R••• · Managing Membercontrol
        since 09/2016 · owns 50% to 75% of H••••• M••••• C•••••• G•• L••
      • S••••••••• S••••• · Managing Membercontrol
        since 09/2016 · owns 50% to 75% of H••••• M••••• C•••••• G•• L••
      Entity owners
      • H••••• M••••• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      • C•••• P•••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • H••••• M••••• C•••••• G•• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 5
        Mar 29, 2016 to Nov 7, 2016
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 29, 2016 to Nov 7, 2016
      • Private funds · 3 to 5
        Mar 29, 2016 to Nov 7, 2016
      • Discretionary RAUM · $206M to $256M
        Mar 29, 2016 to Nov 7, 2016
      • RAUM · $206M to $256M
        Mar 29, 2016 to Nov 7, 2016
      • Succession · false to true
        Mar 29, 2016 to Nov 7, 2016
      • Accounts · 2 to 3
        Mar 24, 2015 to Mar 29, 2016
      • Advisory employees · 3 to 2
        Mar 24, 2015 to Mar 29, 2016
      • Employees · 6 to 7
        Mar 24, 2015 to Mar 29, 2016
      • HQ city · CAMBRIDGE to BOSTON
        Mar 24, 2015 to Mar 29, 2016
      • Private funds · 2 to 3
        Mar 24, 2015 to Mar 29, 2016
      • Discretionary RAUM · $156M to $206M
        Mar 24, 2015 to Mar 29, 2016
      • RAUM · $156M to $206M
        Mar 24, 2015 to Mar 29, 2016
      • Advisory employees · 2 to 3
        Mar 28, 2014 to Mar 24, 2015
      • Employees · 4 to 6
        Mar 28, 2014 to Mar 24, 2015
      • Discretionary RAUM · $142M to $156M
        Mar 28, 2014 to Mar 24, 2015
      • RAUM · $142M to $156M
        Mar 28, 2014 to Mar 24, 2015
      • Assets in custody · unset to 0.0
        Jun 27, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Jun 27, 2013 to Mar 28, 2014
      • Private funds · 4 to 2
        Jun 27, 2013 to Mar 28, 2014
      • Discretionary RAUM · $125M to $142M
        Jun 27, 2013 to Mar 28, 2014
      • RAUM · $125M to $142M
        Jun 27, 2013 to Mar 28, 2014
      • Related adviser · false to true
        Jun 27, 2013 to Mar 28, 2014
      Signals
      2 dated events
      • H••••• M••••• C•••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 7, 2016 · Succession (Item 4) · fact
      • H••••• M••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 27, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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