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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••• P••• A•••••••••

Former SEC-registered adviserHouston, TexasCRD 160240SEC 801-73290IAPD
Legal name H•••••• M••••••••• P•••••••• I•••
Latest filing Mar 28, 2019
First filing on the tape Feb 10, 2012 · 9 filings
RAUM
$26.6M
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
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$26.6M gross assets
History
9 filings and snapshots on the tape
RAUM$26.6M as of Mar 28, 2019
Mar 19, 2013$379M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 19, 20130 then
Employees (5.A)7 as of Mar 28, 2019
Mar 19, 20139 then
Private funds2 as of Mar 28, 2019
Mar 19, 20132 then
RAUM -16% over the last fiscal year-46% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
$13.3MderivedRAUM 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
-16%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
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)
  • 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$26.6M100%
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
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• P••• C•••••• I••• L•••Private Equity Fund$26.6M57Feb 10, 2012
      H•••••• P••• C•••••• I•• L•••Private Equity Fund$049Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• M•••••• S••• J••• · Ceocontrol
        since 12/1986 · owns 75% or more
      • G••••• M••••••• F•••••• · Vp/Ccocontrol
        since 08/2002 · owns less than 5%
      • F•••••••• M•••••• J••• J••• · Partner
        since 06/1995 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H•••••• P••• A••••••••• I••• L•••••
        pooled vehicle sponsorn
      • H•••••• P••• A••••••••• I•• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $31.7M to $26.6M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $31.7M to $26.6M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $31.7M to $26.6M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $144M to $31.7M
        Mar 29, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 31666149.0
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $144M to $31.7M
        Mar 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $169M to $144M
        Mar 24, 2016 to Mar 29, 2017
      • RAUM · $169M to $144M
        Mar 24, 2016 to Mar 29, 2017
      • Advisory employees · 9 to 7
        Mar 30, 2015 to Mar 24, 2016
      • Employees · 9 to 7
        Mar 30, 2015 to Mar 24, 2016
      • Discretionary RAUM · $256M to $169M
        Mar 30, 2015 to Mar 24, 2016
      • RAUM · $256M to $169M
        Mar 30, 2015 to Mar 24, 2016
      • Assets in custody · unset to 0.0
        Mar 19, 2014 to Mar 30, 2015
      • Discretionary RAUM · $170M to $256M
        Mar 19, 2014 to Mar 30, 2015
      • RAUM · $170M to $256M
        Mar 19, 2014 to Mar 30, 2015
      • HQ city · LOS ANGELES to HOUSTON
        Aug 5, 2013 to Mar 19, 2014
      • HQ state · CA to TX
        Aug 5, 2013 to Mar 19, 2014
      • Discretionary RAUM · $379M to $170M
        Aug 5, 2013 to Mar 19, 2014
      • RAUM · $379M to $170M
        Aug 5, 2013 to Mar 19, 2014
      • Advisory employees · unset to 9.0
        Feb 10, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Mar 19, 2013
      • Employees · unset to 9.0
        Feb 10, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Mar 19, 2013
      • Discretionary RAUM · $391M to $379M
        Feb 10, 2012 to Mar 19, 2013
      • RAUM · $391M to $379M
        Feb 10, 2012 to Mar 19, 2013
      Signals
      1 dated events
      • H•••••• P••• A••••••••• reported RAUM $31.7M, down 78% from $143.9M (2017-03-29 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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