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•••••••• P••••••• M••••••••• L•••
Latest filing May 5, 2026
First filing on the tape Feb 15, 2012 · 28 filings
SEC status approved since Mar 26, 2012
RAUM
$214M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$214M as of May 5, 2026
Feb 26, 2013$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Feb 26, 20130 then
Employees (5.A)3 as of May 5, 2026
Feb 26, 20136 then
Private funds3 as of May 5, 2026
Feb 26, 20133 then
RAUM +8.7% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 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
- $71.4MderivedRAUM 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
- +8.7%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
- $214M, 3 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$214M100%
- 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
- $214M for 3 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• 1• L•• | Other Private Fund | $102M | 49 | Mar 30, 2016 |
| H•••••••• P••••••• F•••• L••• | Private Equity Fund | $37.4M | 36 | Feb 15, 2012 |
| H•••••••• P••••••• F••• I•• L••• | Private Equity Fund | $31.6M | 23 | Feb 15, 2012 |
| H•••••••• P••••••• B•••••• C•••••• O••• I•••no longer reported | Other Private Fund | $0 | 8 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••• B• · Partnercontrolsince 07/2007 · owns 25% to 50%
- H•••••• J•••••• P•••••• · Partnercontrolsince 07/2007 · owns 25% to 50%
- L•••••••• J••••••• C•••••• · Partner And Ceocontrolsince 07/2007 · owns 25% to 50%
- C••••• A•••••• B• · Managing Membercontrolsince 07/2007 · owns 25% to 50% of H•••••••• P••••••• M••••••••• G•• L••
- H•••••• J•••••• P•••••• · Managing Membercontrolsince 07/2007 · owns 25% to 50% of H•••••••• P••••••• M••••••••• G•• L••
- L•••••••• J••••••• C•••••• · Managing Membercontrolsince 07/2007 · owns 25% to 50% of H•••••••• P••••••• M••••••••• G•• L••
- L•••••• E••••••••• M••••• · Vice President Of Finance And Chief Compliance Officersince 03/2017 · owns less than 5%
Entity owners
- H•••••••• P••••••• M••••••••• G•• L•• · General Partner Of H•••••••• P••••••• M••••••••• L•••direct · owns less than 5%
Related persons
Schedule D 7.A
- H••••••••• M••• L••pooled vehicle sponsorn
- H•••••••• H••••• O••••••• G•• L••bankpooled vehicle sponsorn
- H•••••••• M••••••••• L•••investment adviserbanknRAUM $638M
- H•••••••• O••••••• G•• L••bankpooled vehicle sponsorn
- H•••••••• O••••••• I• G•• L••bankpooled vehicle sponsorn
- H•••••••• P••••••• G•• L••pooled vehicle sponsorn
- H•••••••• P••••••• I•• L•••pooled vehicle sponsorn
- H•••••••• P••••••• M••••••••• G•• L••y
- H•••••••• P•••••••• L•••pooled vehicle sponsorn
- H•••••••• T••••••••• G•• L••bankn
Advisers that list H•••••••• P••••••• M••••••••• L••• as a related person
- 159101 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $197M to $214MDec 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $197M to $214MDec 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $197M to $214MDec 1, 2025 to Mar 31, 2026
- RAUM · $197M to $214MDec 1, 2025 to Mar 31, 2026
- Assets in custody · $171M to $197MJan 17, 2025 to Apr 1, 2025
- Financial planning clients · unset to Jan 17, 2025 to Apr 1, 2025
- Discretionary RAUM · $171M to $197MJan 17, 2025 to Apr 1, 2025
- Pooled vehicle RAUM · $171M to $197MJan 17, 2025 to Apr 1, 2025
- RAUM · $171M to $197MJan 17, 2025 to Apr 1, 2025
- HQ city · C••••••TON to Apr 30, 2024 to Jan 17, 2025
- HQ state · SC to Apr 30, 2024 to Jan 17, 2025
- Assets in custody · $127M to $171MMay 2, 2023 to Mar 26, 2024
- Other offices · 1 to 0May 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $127M to $171MMay 2, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $127M to $171MMay 2, 2023 to Mar 26, 2024
- RAUM · $127M to $171MMay 2, 2023 to Mar 26, 2024
- Assets in custody · $237M to $127MMar 9, 2023 to Mar 20, 2023
- Discretionary RAUM · $237M to $127MNov 3, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $237M to $127MNov 3, 2022 to Mar 9, 2023
- RAUM · $237M to $127MNov 3, 2022 to Mar 9, 2023
- Accounts · 4 to 3Feb 2, 2022 to Mar 31, 2022
- Pooled vehicle clients · 4 to 3Feb 2, 2022 to Mar 31, 2022
- Assets in custody · $257M to $237MFeb 2, 2022 to Mar 31, 2022
- Private funds · 4 to 3Feb 2, 2022 to Mar 31, 2022
- Discretionary RAUM · $257M to $237MFeb 2, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $257M to $237MFeb 2, 2022 to Mar 31, 2022
- RAUM · $257M to $237MFeb 2, 2022 to Mar 31, 2022
- Assets in custody · $267M to $257MMar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $267M to $257MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $267M to $257MMar 30, 2020 to Mar 29, 2021
- RAUM · $267M to $257MMar 30, 2020 to Mar 29, 2021
- Assets in custody · $298M to $267MJan 10, 2020 to Mar 30, 2020
- Employees · 4 to 3Jan 10, 2020 to Mar 30, 2020
- HQ state · NC to SCJan 10, 2020 to Mar 30, 2020
- Other offices · 2 to 1Jan 10, 2020 to Mar 30, 2020
- Discretionary RAUM · $298M to $267MJan 10, 2020 to Mar 30, 2020
- Pooled vehicle RAUM · $298M to $267MJan 10, 2020 to Mar 30, 2020
- RAUM · $298M to $267MJan 10, 2020 to Mar 30, 2020
- HQ city · NEW YORK to C••••••TONMar 30, 2019 to Jan 10, 2020
- HQ state · NY to NCMar 30, 2019 to Jan 10, 2020
Signals
3 dated events
- H•••••••• P••••••• M••••••••• L••• reported RAUM $127.5M, down 46% from $237.4M (2022-11-03 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- K••••••• L••••• H••••• (Chief Compliance Officer) no longer on Schedule A of H•••••••• P••••••• M••••••••• L••• (listed 2022-02-02, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- K••••••• L••••• H••••• (Chief Compliance Officer) appeared on Schedule A of H•••••••• P••••••• M••••••••• L•••Feb 2, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- H•••••••• P••••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-622-7726reportedpublic record, Form ADV, May 5, 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