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••••••• C•••••• L•

Former SEC-registered adviserNew York, New YorkCRD 160971SEC 801-74120IAPD
Latest filing Jul 25, 2018
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$2.0B
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
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$2.0B as of Mar 30, 2018
Mar 28, 2013$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20130 then
Employees (5.A)5 as of Mar 30, 2018
Mar 28, 201348 then
Private funds13 as of Mar 31, 2014
Mar 28, 201310 then
RAUM -17% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 25, 2018; 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
$200MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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
$2.0B, 10 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$2.0B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 10 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• B••• · Executive Vice President Of Registrantcontrol
        since 09/2012 · owns 5% to 10%
      • L••• C••••••••• H••••• · President Of Registrantcontrol
        since 05/2009 · owns 50% to 75%
      • L•••••• S••••• D•••• · Limited Partner Of Registrantcontrol
        since 09/2009 · owns 5% to 10%
      • M•••••• E•••••• D•••• · Executive Vice President Of Registrantcontrol
        since 03/2013 · owns 5% to 10%
      • N••••• A•••••• F•• · Executive Vice President Of Registrantcontrol
        since 03/2013 · owns 5% to 10%
      • B••••••••• B••• · Member Of Executive Committee Of H••••••• C•••••• H••••••• L••control
        since 09/2012 · owns F of H••••••• C•••••• H••••••• L••
      • L••• C••••••••• H••••• · Member Of H••••••• C•••••• H••••••• L••control
        since 03/2009 · owns 50% to 75% of H••••••• C•••••• H••••••• L••
      • L•••••• S••••• D•••• · Member Of Executive Committee Of H••••••• C•••••• H••••••• L••control
        since 05/2009 · owns F of H••••••• C•••••• H••••••• L••
      • M•••••• E•••••• D•••• · Member Of Executive Committee Of H••••••• C•••••• H••••••• L••control
        since 09/2012 · owns F of H••••••• C•••••• H••••••• L••
      • N••••• A•••••• F•• · Member Of Executive Committee Of H••••••• C•••••• H••••••• L••control
        since 09/2012 · owns F of H••••••• C•••••• H••••••• L••
      Entity owners
      • H••••••• C•••••• H••••••• L•• · General Partner Of Registrant
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••••• C•••••• G• I• L•••
        pooled vehicle sponsory
      • H••••••• C•••••• G• I•• L•••
        pooled vehicle sponsory
      • H••••••• G• I•• P•••• F•••• L•••
        pooled vehicle sponsory
      • H••••••• G• I••• L•••
        pooled vehicle sponsory
      • H••••••• K••••• C••••••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Houston, TX1 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 10.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $2.4B to $2.0B
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $2.4B to $2.0B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1996960123.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $2.4B to $2.0B
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 7 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $3.7B to $2.4B
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 7 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $3.7B to $2.4B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $3.7B to $2.4B
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $5.0B to $3.7B
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $5.0B to $3.7B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $5.0B to $3.7B
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $4.6B to $5.0B
        Sep 17, 2014 to Mar 31, 2015
      • Discretionary RAUM · $4.6B to $5.0B
        Sep 17, 2014 to Mar 31, 2015
      • RAUM · $4.6B to $5.0B
        Sep 17, 2014 to Mar 31, 2015
      • Private funds · 13 to unset
        Mar 31, 2014 to Sep 17, 2014
      • Discretionary RAUM · $6.9B to $4.6B
        Mar 31, 2014 to Sep 17, 2014
      • Non-discretionary RAUM · $132M to $0
        Mar 31, 2014 to Sep 17, 2014
      • RAUM · $7.0B to $4.6B
        Mar 31, 2014 to Sep 17, 2014
      • Accounts · 20 to 10
        Mar 31, 2014 to Sep 17, 2014
      • Advisory employees · 28 to 7
        Mar 31, 2014 to Sep 17, 2014
      • Advisory activities · 2 to 1
        Mar 31, 2014 to Sep 17, 2014
      • Assets in custody · $7.0B to $4.6B
        Mar 31, 2014 to Sep 17, 2014
      • Employees · 45 to 7
        Mar 31, 2014 to Sep 17, 2014
      • Accounts · 18 to 20
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 30 to 28
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $13B to $7.0B
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 48 to 45
        Mar 28, 2013 to Mar 31, 2014
      • Private funds · 10 to 13
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $13B to $6.9B
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $190M to $132M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $13B to $7.0B
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 20 to 18
        Feb 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 30.0
        Feb 14, 2012 to Mar 28, 2013
      • Advisory activities · 1 to 2
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $10.0B to $13B
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 48.0
        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