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••••• H•••••• C•••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 161240SEC 801-74733website IAPD

Latest filing Mar 25, 2026

First filing on the tape Mar 21, 2012 · 25 filings

SEC status approved since Mar 29, 2012

RAUM

$7.4B

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$286M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

105

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$7.4B as of Mar 25, 2026

Apr 1, 2013$2.6B then

HNW client RAUM: no history

State-registered IARs (5.B.3)26 as of Mar 25, 2026

Apr 1, 20130 then

Employees (5.A)89 as of Mar 25, 2026

Apr 1, 201332 then

Private funds105 as of Mar 25, 2026

Apr 1, 201369 then

RAUM +21% over the last fiscal year+18% a year over threeIARs 26 to 26

Practice profile

derived from the filing of Mar 25, 2026; every figure names its basis

RAUM per advisor: $286MderivedRAUM 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: $70.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.4derivedItem 5.A over advisors
Advisors per office: 26.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $7.4B, 105 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

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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$7.4B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 105reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $7.4B for 105 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived

Advisors registered through the firm

26 on IAPD today, longest tenure first

Name	Branch	Here since	In industry
J•••• M•••••• C•••••	New York, Ny	Aug 16, 2021	13 y
A••••• D•••• C•••••	New York, Ny	Aug 16, 2021	17 y
F•••• S••••	New York, Ny	Aug 16, 2021	28 y
S•••• L•• S••••••	New York, Ny	Aug 17, 2021	10 y
G••• P••• G•••••	New York, Ny	Aug 17, 2021	14 y
S•••••• G•••••••	New York, Ny	Aug 18, 2021	28 y
J••••• C•••	New York, Ny	Aug 18, 2021	28 y
K•••• M•••••	New York, Ny	Aug 18, 2021	16 y
K•••••• L••••• P•••••••	New York, Ny	Aug 18, 2021	15 y
E•••••••• M•••• G•••••	New York, Ny	Aug 18, 2021	17 y
W• K••••• C••••••	New York, Ny	Aug 18, 2021	24 y
N•••• B••••••	New York, Ny	Aug 18, 2021	16 y
A••••• R•••••• G••••••••	New York, Ny	Aug 18, 2021	13 y
B•••• J•••• D••••	Dana Pt., Ca	Aug 18, 2021	25 y
I•••• L••••• M••••••	New York, Ny	Aug 18, 2021	15 y
J••••• A••••••• M•••••	New York, Ny	Aug 18, 2021	31 y
J•••••• A••••• D••••••	New York, Ny	Aug 21, 2021	15 y
S•••••• H•••••• A••••	New York, Ny	Aug 21, 2021	23 y
J••••• S••• L•••••	New York, Ny	Aug 21, 2021	16 y
T••••• A•••••• C••••	New York, Ny	Aug 23, 2021	14 y
M•••••• L•••• S•••••	New York, Ny	Aug 23, 2021	10 y
G•••••••• M•••••••••	New York, Ny	Aug 23, 2021	20 y
J••• S•••• Z•••••	New York, Ny	Aug 31, 2021	28 y
B•••• F•••••• B••••••	New York, Ny	Sep 30, 2021	12 y
G•••••• M•••••• O•••••••	New York, Ny	Sep 30, 2021	12 y
H••• F••••• R••••••	Miami, Fl	Dec 18, 2024	18 y

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

124 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
H••••• H•••••• T•• C••••• F••• X••• L•	Other Private Fund	$813M	2	Mar 21, 2012
H••••• H•••••• T•• C••••• F••• L••• L•	Other Private Fund	$746M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• L••••• L•	Other Private Fund	$354M	2	Mar 29, 2019
H••••• H•••••• T•• C••••• F••• X•• L•	Other Private Fund	$223M	2	Mar 28, 2022
H••••• H•••••• T•• C••••• F••• X• L•	Other Private Fund	$219M	2	Mar 27, 2020
H••••• H•••••• T•• C••••• F••• L••••• L•	Other Private Fund	$201M	2	Mar 29, 2016
H••••• H•••••• T•• C••••• F••• C••• L•	Other Private Fund	$193M	2	Mar 27, 2023
H••••• H•••••• T•• C••••• F••• C••• L••	Other Private Fund	$154M	2	Mar 27, 2023
H••••• H•••••• T•• C••••• F••• C••• L•	Other Private Fund	$153M	2	Oct 5, 2023
H••••• H•••••• T•• C••••• F••• L••• L•	Other Private Fund	$146M	2	Mar 29, 2019
H••••• H•••••• T•• C••••• F••• C• L••	Other Private Fund	$144M	2	Mar 29, 2024
H••••• H•••••• T•• C••••• F••• L••••• L•	Other Private Fund	$129M	2	Mar 30, 2017
H••••• H•••••• T•• C••••• F••• C• L••	Other Private Fund	$106M	2	Mar 28, 2022
H••••• H•••••• T•• C••••• F••• X••• L•	Other Private Fund	$104M	2	Mar 28, 2022
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$100M	2	Mar 30, 2017
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$99.9M	2	Mar 29, 2019
H••••• H•••••• T•• C••••• F••• X••••• L••	Other Private Fund	$98.6M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• C• L•	Other Private Fund	$94.3M	2	Mar 27, 2023
H••••• H•••••• T•• C••••• F••• L•••••• L•	Other Private Fund	$94.3M	2	Mar 24, 2018
H••••• H•••••• T•• C••••• F••• X•• L•	Other Private Fund	$92.3M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• C•••• L•	Other Private Fund	$79.5M	2	Oct 5, 2023
H••••• H•••••• T•• C••••• F••• X••• L•	Other Private Fund	$79.4M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$74.2M	2	Mar 30, 2017
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$64.8M	2	Mar 30, 2015
H••••• H•••••• T•• C••••• F••• C• L•	Other Private Fund	$59.2M	2	Mar 27, 2023
H••••• H•••••• T•• C••••• F••• X•••• L•	Other Private Fund	$58.5M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• C•• L•	Other Private Fund	$57.5M	2	Mar 29, 2024
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$52.9M	2	Mar 30, 2017
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$46.7M	2	Mar 29, 2019
H••••• H•••••• T•• C••••• F••• C•• L•	Other Private Fund	$40.4M	2	Oct 5, 2023
H••••• H•••••• T•• C••••• F••• L•••• L•	Other Private Fund	$37.2M	2	Mar 29, 2016
H••••• H•••••• T•• C••••• F••• L•• L•	Other Private Fund	$33.5M	2	Mar 27, 2014
H••••• H•••••• T•• C••••• F••• L•••••• L•	Other Private Fund	$30.5M	2	Mar 29, 2019
H••••• H•••••• T•• C••••• F••• L•• L•	Other Private Fund	$27.8M	2	Mar 30, 2015
H••••• H•••••• T•• C••••• F••• X••• L••	Other Private Fund	$27.1M	2	Mar 29, 2021
H••••• H•••••• T•• C••••• F••• X•• L•	Other Private Fund	$26.8M	2	Mar 21, 2012
H••••• H•••••• T•• C••••• F••• L• L•	Other Private Fund	$23.9M	2	Apr 1, 2013
H••••• H•••••• T•• C••••• F••• L••••• L•	Other Private Fund	$20.7M	2	Mar 30, 2017
H••••• H•••••• T•• C••••• F••• X• L•	Other Private Fund	$19.9M	2	Mar 21, 2012
H••••• H•••••• T•• C••••• F••• X•••• L•	Other Private Fund	$18.6M	2	Mar 21, 2012

All funds of H••••• H•••••• C•••••• L••

Owners and control persons

Schedule A and B, latest filing

M•••••• J•••••• A••••••• · Chief Compliance Officercontrol
since 02/2012 · owns less than 5%
Z•••••• J•••• S•••• · Managing Membercontrol
since 02/1998 · owns 25% to 50%
M•••••• J•••••• A••••••• · Managing Membercontrol
since 02/1998 · owns 75% or more of H••••• H•••••••• L••
G•••••••• S•••••• · Member And Managing Director
since 01/2005 · owns 10% to 25%

Entity owners

H••••• H•••••••• L•• · Managing Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

C•••••••• R••••••••• G• L••
pooled vehicle sponsory
H••••• G• C• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C••• L••
pooled vehicle sponsory
H••••• G• C•••• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• C••• L••
pooled vehicle sponsory
H••••• G• C•••• L••
pooled vehicle sponsory
H••••• G• C•• L••
pooled vehicle sponsory
H••••• G• L• L••
pooled vehicle sponsory
H••••• G• L• L••
pooled vehicle sponsory
H••••• G• L•• L••
pooled vehicle sponsory
H••••• G• L••• L••
pooled vehicle sponsory
H••••• G• L•• L••
pooled vehicle sponsory
H••••• G• L•• L••
pooled vehicle sponsory
H••••• G• L• L••
pooled vehicle sponsory
H••••• G• L••• L••
pooled vehicle sponsory
H••••• G• L•••• L••
pooled vehicle sponsory
H••••• G• L• L••
pooled vehicle sponsory
H••••• G• L•• L••
pooled vehicle sponsory
H••••• G• L••• L••
pooled vehicle sponsory
H••••• G• L•••• L••
pooled vehicle sponsory
H••••• G• L••• L••
pooled vehicle sponsory
H••••• G• L••• L••
pooled vehicle sponsory
H••••• G• L•• L••
pooled vehicle sponsory

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
New York, Ny · principal	26	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Mar 25, 2026
discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: asset managers, $5B to $20B (684) · 0.0% percentile
many private funds relative to firm sizeStatic outlier · filing Mar 25, 2026
private funds per $1B of RAUM of 14.1 against a peer median of 2.0 (467 comparable advisers, 99.0th percentile, 7.1 robust deviations)
peers: asset managers, $5B to $20B (467) · 99% percentile
large related person networkStatic outlier · filing Mar 25, 2026
related persons on Schedule D 7.A of 106.0 against a peer median of 11.0 (492 comparable advisers, 98.0th percentile, 10.7 robust deviations)
peers: asset managers, $5B to $20B (492) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 96 to 105
Mar 7, 2025 to Mar 25, 2026
Pooled vehicle clients · 96 to 105
Mar 7, 2025 to Mar 25, 2026
Assets in custody · $6.1B to $7.4B
Mar 7, 2025 to Mar 25, 2026
Employees · 75 to 89
Mar 7, 2025 to Mar 25, 2026
Private funds · 96 to 105
Mar 7, 2025 to Mar 25, 2026
Non-discretionary RAUM · $6.1B to $7.4B
Mar 7, 2025 to Mar 25, 2026
Pooled vehicle RAUM · $6.1B to $7.4B
Mar 7, 2025 to Mar 25, 2026
RAUM · $6.1B to $7.4B
Mar 7, 2025 to Mar 25, 2026
Accounts · 93 to 96
Oct 2, 2024 to Mar 7, 2025
Advisory employees · 5 to 3
Oct 2, 2024 to Mar 7, 2025
BD registered reps · 3 to 4
Oct 2, 2024 to Mar 7, 2025
Pooled vehicle clients · 93 to 96
Oct 2, 2024 to Mar 7, 2025
Assets in custody · $5.4B to $6.1B
Oct 2, 2024 to Mar 7, 2025
Employees · 70 to 75
Oct 2, 2024 to Mar 7, 2025
Financial planning clients · unset to
Oct 2, 2024 to Mar 7, 2025
State-registered IARs · 0 to 26
Oct 2, 2024 to Mar 7, 2025
Private funds · 93 to 96
Oct 2, 2024 to Mar 7, 2025
Non-discretionary RAUM · $5.4B to $6.1B
Oct 2, 2024 to Mar 7, 2025
Pooled vehicle RAUM · $5.4B to $6.1B
Oct 2, 2024 to Mar 7, 2025
RAUM · $5.4B to $6.1B
Oct 2, 2024 to Mar 7, 2025
Accounts · 91 to 93
Apr 11, 2024 to Oct 2, 2024
Pooled vehicle clients · 91 to 93
Apr 11, 2024 to Oct 2, 2024
Employees · 66 to 70
Apr 11, 2024 to Oct 2, 2024
Private funds · 91 to 93
Apr 11, 2024 to Oct 2, 2024
Pooled vehicle clients · 92 to 91
Jan 16, 2024 to Mar 29, 2024
Assets in custody · $4.7B to $5.4B
Jan 16, 2024 to Mar 29, 2024
Employees · 65 to 66
Jan 16, 2024 to Mar 29, 2024
Accounts · 92 to 91
Jan 16, 2024 to Mar 29, 2024
BD registered reps · 4 to 3
Jan 16, 2024 to Mar 29, 2024
Private funds · 92 to 91
Jan 16, 2024 to Mar 29, 2024
Non-discretionary RAUM · $4.7B to $5.4B
Jan 16, 2024 to Mar 29, 2024
Pooled vehicle RAUM · $4.7B to $5.4B
Jan 16, 2024 to Mar 29, 2024
RAUM · $4.7B to $5.4B
Jan 16, 2024 to Mar 29, 2024
Accounts · 90 to 92
Oct 3, 2023 to Oct 5, 2023
Pooled vehicle clients · 90 to 92
Oct 3, 2023 to Oct 5, 2023
Assets in custody · $4.6B to $4.7B
Oct 3, 2023 to Oct 5, 2023
Private funds · 89 to 92
Oct 3, 2023 to Oct 5, 2023
Non-discretionary RAUM · $4.6B to $4.7B
Oct 3, 2023 to Oct 5, 2023
Pooled vehicle RAUM · $4.6B to $4.7B
Oct 3, 2023 to Oct 5, 2023
RAUM · $4.6B to $4.7B
Oct 3, 2023 to Oct 5, 2023

Signals

1 dated events

H••••• H•••••• C•••••• L•• reported 26 state-registered advisory representatives, up from 0 (2024-10-02 to 2025-03-07)
Mar 7, 2025 · ria advisor headcount c•••ge · derived

Across DFX

shared identifiers only, never a name match

H••••• H•••••• C•••••• L•• · Independent Sponsors
shared crd · capital_provider

How to reach

public business contact points only, each with its source

Website: H•••••H••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 212-218-4456reportedpublic record, Form ADV, Mar 25, 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: $286Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

H••••• H•••••• C•••••• L•• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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