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•••••••••

Former SEC-registered adviserCRD 161486SEC 801-74337IAPD
Legal name H••• L••
Latest filing May 8, 2023
First filing on the tape Feb 16, 2012 · 20 filings
RAUM
$43.7M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$43.7M gross assets
History
20 filings and snapshots on the tape
RAUM$43.7M as of Mar 30, 2023
Apr 1, 2013$616M then
HNW client RAUM$0 as of Mar 30, 2023
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Apr 1, 20130 then
Employees (5.A)6 as of Mar 30, 2023
Apr 1, 201314 then
Private funds5 as of Mar 30, 2023
Apr 1, 20136 then
RAUM -13% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 8, 2023; 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
$8.7MderivedRAUM 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
-13%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
$43.7M, 5 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)
  • 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$43.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$43.7M for 5 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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• P••••••• I•• L•Private Equity Fund$19.6M127Feb 16, 2012
      H••••••••• P•••••••• L•Private Equity Fund$13.3M97Feb 16, 2012
      H••••••••• P••••••• I••• L•Private Equity Fund$7.9M117Feb 16, 2012
      H••••••••• P••••••• I•••• L•Private Equity Fund$2.2M64Feb 16, 2012
      H•• I• C•••••••• V•••••• I•• L•no longer reportedPrivate Equity Fund$2.0M1Feb 16, 2012
      H••••••••• P••••••• I•• C••••••••• V•••••• L•Private Equity Fund$1.1M12Mar 30, 2016
      H••••••••• P••••••• I••••• L•Private Equity Fund$704,44629Feb 16, 2012
      H••••••••• P••••••• I•• C••••••••• V•••••• I• L•Private Equity Fund$474,9201Mar 30, 2016
      H••••••••• P••••••• I•• C••••••••• V•••••• I• L•Private Equity Fund$206,8822Mar 30, 2016
      H••••••••• P••••••• I•• C••••••••• V•••••• I• L•Private Equity Fund$139,00413Mar 31, 2017
      H•• I• C•••••••• V••••••• L•Private Equity Fund$90,3471Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• I••• M••••••• · Managing Directorcontrol
        since 10/2003 · owns less than 5%
      • F••••••••• J•••••• A••••• · Ccocontrol
        since 03/2012 · owns less than 5%
      • F•••••• J•••• H•••••• · Chairmancontrol
        since 08/2002 · owns less than 5%
      • F••••••••• J•••••• A••••• · Membercontrol
        since 12/2021 · owns 25% to 50% of H••••••••• L••
      • M••••••••• J•••• C• · Membercontrol
        since 12/2021 · owns 50% to 75% of H••••••••• L••
      Entity owners
      • H••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list H••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 5
        Jun 17, 2022 to Mar 30, 2023
      • Advisory employees · 6 to 5
        Jun 17, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 10 to 5
        Jun 17, 2022 to Mar 30, 2023
      • Assets in custody · $50.0M to $43.7M
        Jun 17, 2022 to Mar 30, 2023
      • Employees · 9 to 6
        Jun 17, 2022 to Mar 30, 2023
      • HQ city · NEW YORK to unset
        Jun 17, 2022 to Mar 30, 2023
      • HQ state · NY to unset
        Jun 17, 2022 to Mar 30, 2023
      • Private funds · 10 to 5
        Jun 17, 2022 to Mar 30, 2023
      • Discretionary RAUM · $50.0M to $43.7M
        Jun 17, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $50.0M to $43.7M
        Jun 17, 2022 to Mar 30, 2023
      • RAUM · $50.0M to $43.7M
        Jun 17, 2022 to Mar 30, 2023
      • Assets in custody · $109M to $50.0M
        Jun 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $109M to $50.0M
        Jun 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $109M to $50.0M
        Jun 30, 2021 to Mar 30, 2022
      • RAUM · $109M to $50.0M
        Jun 30, 2021 to Mar 30, 2022
      • Assets in custody · $122M to $109M
        Jun 19, 2020 to Mar 30, 2021
      • Discretionary RAUM · $122M to $109M
        Jun 19, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $122M to $109M
        Jun 19, 2020 to Mar 30, 2021
      • RAUM · $122M to $109M
        Jun 19, 2020 to Mar 30, 2021
      • Assets in custody · $188M to $122M
        May 22, 2019 to Mar 30, 2020
      • Employees · 13 to 9
        May 22, 2019 to Mar 30, 2020
      • Discretionary RAUM · $188M to $122M
        May 22, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $188M to $122M
        May 22, 2019 to Mar 30, 2020
      • RAUM · $188M to $122M
        May 22, 2019 to Mar 30, 2020
      • Advisory employees · 7 to 6
        Jul 13, 2018 to Mar 29, 2019
      • Assets in custody · $329M to $188M
        Jul 13, 2018 to Mar 29, 2019
      • Employees · 14 to 13
        Jul 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · $329M to $188M
        Jul 13, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $329M to $188M
        Jul 13, 2018 to Mar 29, 2019
      • RAUM · $329M to $188M
        Jul 13, 2018 to Mar 29, 2019
      • Related adviser · false to true
        Jul 13, 2018 to Mar 29, 2019
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 10.0
        Sep 29, 2017 to Mar 30, 2018
      • Assets in custody · $359M to $329M
        Sep 29, 2017 to Mar 30, 2018
      • Employees · 12 to 14
        Sep 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 29, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • C John Mccormick (Member) appeared on Schedule A of Healthpointcapital
        Mar 30, 2022 · Control person joined · fact
      • Healthpointcapital reported RAUM $188.0M, down 43% from $328.7M (2018-07-13 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      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