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•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 9, 2012 · 27 filings
SEC status approved since Mar 23, 2012
RAUM
$13B
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$13B as of Mar 24, 2026
Mar 1, 2013$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 1, 20130 then
Employees (5.A)9 as of Mar 24, 2026
Mar 1, 20139 then
Private funds1 as of Mar 24, 2026
Mar 1, 20132 then
RAUM -39% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $4.5BderivedRAUM 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
- -39%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
- $411M, 1 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $411M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••••• L••• | Hedge Fund | $25B | 498 | Feb 9, 2012 |
| H••••• M••••• S••no longer reported | Hedge Fund | $37.2M | 7 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• S•••• N•••• · Presidentcontrolsince 03/1997 · owns less than 5%
- S•••• J••• Y• · Chief Financial Officercontrolsince 10/2008 · owns less than 5%
- T••••• M•••••••• M•••••• · Chief Operating Officer / Chief Compliance Officercontrolsince 11/2019 · owns less than 5%
- H•••••• K•••• · Trusteecontrolsince 12/2012 · owns F of H••••• F••••• G•• E••••• 2••• T••••
- H•••••• S•••• N•••• · Limited Partnercontrolsince 08/2016 · owns 50% to 75% of C••••••••• P••••••••• L•
- H•••••• S•••• N•••• · Managing Membercontrolsince 08/2016 · owns 75% or more of C••••••••• A••••••••• L••
Entity owners
- C••••••••• P••••••••• L• · Memberdirect · owns 75% or more
- C••••••••• A••••••••• L•• · General Partnerindirect · owns F of C••••••••• P••••••••• L•
- H••••• F••••• G•• E••••• 2••• T•••• · Limited Partnerindirect · owns 25% to 50% of C••••••••• P••••••••• L•
Related persons
Schedule D 7.A
- C••••••••• A••••••••• L••y
- C••••••••• P••••••••• L•y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 15.0 to 9.0 (-40.0%) between the annual amendments of 2025-03-26 and 2026-03-24; the peer median change was +3.0% (595 comparable advisers, 0.0th percentile of changes)peers: asset managers, $5B to $20B (595) · 0.2% percentile
- RAUM down 25 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $21,921,075,869 to $13,404,190,608 (-39.0%) between the annual amendments of 2025-03-26 and 2026-03-24; the peer median change was +13.0% (631 comparable advisers, 1.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 0.6% percentile
What changed
consecutive filings, newest first
- Advisory employees · 8 to 5Jul 23, 2025 to Mar 24, 2026
- Assets in custody · $459M to $411MJul 23, 2025 to Mar 24, 2026
- Employees · 15 to 9Jul 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $22B to $13BJul 23, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $22B to $13BJul 23, 2025 to Mar 24, 2026
- RAUM · $22B to $13BJul 23, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jul 23, 2025
- Assets in custody · $757M to $459MMar 25, 2024 to Mar 26, 2025
- Employees · 14 to 15Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $25B to $22BMar 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $25B to $22BMar 25, 2024 to Mar 26, 2025
- RAUM · $25B to $22BMar 25, 2024 to Mar 26, 2025
- Assets in custody · $1.7B to $757MMar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $50B to $25BMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $50B to $25BMar 30, 2023 to Mar 25, 2024
- RAUM · $50B to $25BMar 30, 2023 to Mar 25, 2024
- Advisory employees · 7 to 8Nov 3, 2022 to Mar 30, 2023
- Assets in custody · $609M to $1.7BNov 3, 2022 to Mar 30, 2023
- Employees · 13 to 14Nov 3, 2022 to Mar 30, 2023
- Discretionary RAUM · $63B to $50BNov 3, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $63B to $50BNov 3, 2022 to Mar 30, 2023
- RAUM · $63B to $50BNov 3, 2022 to Mar 30, 2023
- Advisory employees · 6 to 7Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $248M to $609MMar 31, 2021 to Mar 30, 2022
- Employees · 11 to 13Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $25B to $63BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $25B to $63BMar 31, 2021 to Mar 30, 2022
- RAUM · $25B to $63BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 5 to 6Sep 28, 2020 to Mar 31, 2021
- Assets in custody · $205M to $248MSep 28, 2020 to Mar 31, 2021
- Employees · 10 to 11Sep 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $19B to $25BSep 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $19B to $25BSep 28, 2020 to Mar 31, 2021
- RAUM · $19B to $25BSep 28, 2020 to Mar 31, 2021
- HQ city · NEW YORK to PEARL RIVERMar 30, 2020 to Sep 28, 2020
- Assets in custody · $12B to $205MNov 22, 2019 to Mar 30, 2020
- Employees · 9 to 10Nov 22, 2019 to Mar 30, 2020
- Other offices · 1 to 0Nov 22, 2019 to Mar 30, 2020
- Discretionary RAUM · $12B to $19BNov 22, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $12B to $19BNov 22, 2019 to Mar 30, 2020
Signals
9 dated events
- H••••• C•••••• M••••••••• L•• reported RAUM $13.4B, down 39% from $21.9B (2025-07-23 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- H••••• C•••••• M••••••••• L•• reported RAUM $25.4B, down 49% from $49.8B (2023-03-30 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- H••••• C•••••• M••••••••• L•• reported RAUM $62.6B, up 148% from $25.2B (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- H••••• C•••••• M••••••••• L•• reported RAUM $25.2B, up 36% from $18.5B (2020-09-28 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- H••••• C•••••• M••••••••• L•• reported RAUM $18.5B, up 57% from $11.8B (2019-11-22 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Tanenbaum Ellen Arthur (General Counsel / Chief Compliance Officer) no longer on Schedule A of H••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-11-22)Nov 22, 2019 · Control person left · inference
- Macleod Marshall Terry (Senior Vice President Of Operations/ Chief Compliance Officer) appeared on Schedule A of H••••• C•••••• M••••••••• L••Nov 22, 2019 · Control person joined · fact
- H••••• C•••••• M••••••••• L•• reported RAUM $11.8B, up 43% from $8.3B (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- H••••• C•••••• M••••••••• L•• reported RAUM $8.3B, up 38% from $6.0B (2017-07-19 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H•••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-752-5077reportedpublic record, Form ADV, Mar 24, 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