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••••• E•••••••• M••••••••• C••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 160418SEC 801-74038IAPD
Latest filing Dec 13, 2017
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$343M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$343M gross assets
History
7 filings and snapshots on the tape
RAUM$343M as of Mar 22, 2017
Mar 28, 2013$670M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2017
Mar 28, 20130 then
Employees (5.A)5 as of Mar 22, 2017
Mar 28, 201316 then
Private funds3 as of Mar 22, 2017
Mar 28, 20134 then
RAUM -7.9% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 13, 2017; 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
$114MderivedRAUM 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
-7.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
fixed, 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• E•••••••• P••••••• F••• I• L•••Private Equity Fund$116M13Feb 14, 2012
      H••••• E•••••••• P••••••• C••••••••• L••Private Equity Fund$1.6M20Feb 14, 2012
      S••••••• H••••••••• F•••• L••no longer reportedPrivate Equity Fund$00Feb 14, 2012
      H••••• E•••••••• P••••••• F••• I• ••• I•• L•••Private Equity Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• D•••• · Managing Membercontrol
        since 05/2007 · owns 25% to 50% of H••••• E•••••••• M••••••••• P••••••••• L••
      • K••••• B•••••• R• · Membercontrol
        since 07/2016 · owns 25% to 50% of H••••• E•••••••• M••••••••• P••••••••• L••
      • Y••• K••• H••••• · Membercontrol
        since 07/2016 · owns 25% to 50% of H••••• E•••••••• M••••••••• P••••••••• L••
      • Y••• K••• H••••• · Partner And Chief Compliance Officer, H••••• E•••••••• M••••••••• C••• L••
        since 01/2012 · owns less than 5%
      Entity owners
      • H••••• E•••••••• M••••••••• P••••••••• L•• · Managing Member, H••••• E•••••••• M••••••••• C••• L••
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••••• E•••••••• P••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · unset to 0.0
        Mar 22, 2017 to Dec 13, 2017
      • Advisory employees · 6 to 4
        Mar 21, 2016 to Mar 22, 2017
      • Employees · 7 to 5
        Mar 21, 2016 to Mar 22, 2017
      • Discretionary RAUM · $372M to $343M
        Mar 21, 2016 to Mar 22, 2017
      • RAUM · $372M to $343M
        Mar 21, 2016 to Mar 22, 2017
      • Private funds · 4 to 3
        Mar 27, 2015 to Mar 21, 2016
      • Discretionary RAUM · $548M to $372M
        Mar 27, 2015 to Mar 21, 2016
      • RAUM · $548M to $372M
        Mar 27, 2015 to Mar 21, 2016
      • Accounts · 4 to 3
        Mar 28, 2014 to Mar 27, 2015
      • Advisory employees · 12 to 6
        Mar 28, 2014 to Mar 27, 2015
      • Assets in custody · $670M to $0
        Mar 28, 2014 to Mar 27, 2015
      • Employees · 16 to 7
        Mar 28, 2014 to Mar 27, 2015
      • Discretionary RAUM · $670M to $548M
        Mar 28, 2014 to Mar 27, 2015
      • RAUM · $670M to $548M
        Mar 28, 2014 to Mar 27, 2015
      • Related adviser · false to true
        Mar 28, 2014 to Mar 27, 2015
      • Advisory employees · 11 to 12
        Mar 28, 2013 to Mar 28, 2014
      • Assets in custody · $670M to $670M
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $670M to $670M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $670M to $670M
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 11.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $626M to $670M
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 16.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $710M to $670M
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $710M to $670M
        Feb 14, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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