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•••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$5.2B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
29
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$5.2B as of Mar 31, 2026
Mar 28, 2013$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)0 as of Mar 31, 2026
Mar 28, 20130 then
Private funds29 as of Mar 31, 2026
Mar 28, 20134 then
RAUM +34% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $180MderivedRAUM 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
- +34%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.1B, 29 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1B for 29 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
34 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••••••• J•••• · President, Executive Chairmancontrolsince 03/2009 · owns less than 5%
- H•••••• J•••••••• J•••• · President, Executive Chairmancontrolsince 08/2008 · owns 75% or more of H••••• C•••••••• H•••••••• I•••
- E•••••••• S•••• U••• F••••• · Chief Compliance Officer & Chief Risk Officersince 05/2018 · owns less than 5%
- E•••••• J••••• R••••• · General Counselsince 09/2018 · owns less than 5%
Entity owners
- H•••••• C•••••••• • C••• L•• · Memberdirect · owns 75% or more
- H••••• C•••••••• H•••••••• I••• · Memberindirect · owns 75% or more of H•••••• C•••••••• • C••• L••
- H••••• C•••••••• H•••••••• I••• · Memberindirect · owns 75% or more of H•••••• C•••••••• • C••• L••, Sole Member Of Hc Cap Partners, LLC, Sole Member Of H••••• C•••••••• Sp O••••••••• 2009 Gp, LLC
Related persons
Schedule D 7.A
- H••••• C•••••••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• 2••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• 2••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• 2••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• I•••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• X••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• X•••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• P•••••• E••••• F••• X••••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• S••••• E••••• G•• L••pooled vehicle sponsory
- H••••• C•••••••• S••••• E••••• I•• G•• L••pooled vehicle sponsory
- H••••• C•••••••• S•••••• O••••••••• G•• L••pooled vehicle sponsory
- H••••• & Co., LLCinvestment adviserbankpooled vehicle sponsoryRAUM $25B
Advisers that list H• C•••••• P•••••••• L•• as a related person
- 105403 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $2.0B to $4.1BMar 31, 2025 to Mar 31, 2026
- Private funds · 30 to 29Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.9B to $5.2BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.9B to $5.2BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.9B to $5.2BMar 31, 2025 to Mar 31, 2026
- Assets in custody · $2.8B to $2.0BMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.2B to $3.9BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.2B to $3.9BMar 29, 2024 to Mar 31, 2025
- RAUM · $4.2B to $3.9BMar 29, 2024 to Mar 31, 2025
- Accounts · 24 to 29Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 24 to 29Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $2.4B to $2.8BMar 31, 2023 to Mar 29, 2024
- Private funds · 26 to 30Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.5B to $4.2BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.5B to $4.2BMar 31, 2023 to Mar 29, 2024
- RAUM · $3.5B to $4.2BMar 31, 2023 to Mar 29, 2024
- Accounts · 25 to 24Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 25 to 24Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $2.7B to $2.4BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.8B to $3.5BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.8B to $3.5BMar 31, 2022 to Mar 31, 2023
- RAUM · $3.8B to $3.5BMar 31, 2022 to Mar 31, 2023
- Accounts · 20 to 25Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 20 to 25Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $1.9B to $2.7BMar 31, 2021 to Mar 31, 2022
- Private funds · 21 to 26Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.8B to $3.8BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.8B to $3.8BMar 31, 2021 to Mar 31, 2022
- RAUM · $2.8B to $3.8BMar 31, 2021 to Mar 31, 2022
- Accounts · 17 to 20Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 17 to 20Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.9B to $1.9BMar 30, 2020 to Mar 31, 2021
- Private funds · 15 to 21Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.5B to $2.8BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $2.5B to $2.8BMar 30, 2020 to Mar 31, 2021
- RAUM · $2.5B to $2.8BMar 30, 2020 to Mar 31, 2021
- Accounts · 14 to 17Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 14 to 17Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $577M to $1.9BMar 29, 2019 to Mar 30, 2020
Signals
4 dated events
- H• C•••••• P•••••••• L•• reported RAUM $5.2B, up 34% from $3.9B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- H• C•••••• P•••••••• L•• reported RAUM $3.8B, up 37% from $2.8B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- H• C•••••• P•••••••• L•• reported RAUM $2.5B, up 155% from $995.4M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Lapinski Colette Bergman (Vice President, Treasurer, And Secretary Of H••••• C•••••••• S•••••• O••••••••• G•• L••) no longer on Schedule A of H• C•••••• P•••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- H• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- H• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 610-828-7200reportedpublic record, Form ADV, Mar 31, 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