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••• P•••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 162668SEC 801-100488IAPD
Legal name H••• C••••••• L••
Latest filing Mar 21, 2018
First filing on the tape Jun 29, 2015 · 5 filings
RAUM
$87.7M
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
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$87.7M gross assets
History
5 filings and snapshots on the tape
RAUM$87.7M as of Mar 21, 2018
Mar 23, 2016$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2018
Mar 23, 20160 then
Employees (5.A)10 as of Mar 21, 2018
Mar 23, 201610 then
Private funds3 as of Mar 21, 2018
Mar 23, 20163 then
RAUM -45% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 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
$29.2MderivedRAUM 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
-45%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
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)
  • 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$87.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• P••••••• V• L•Other Private Fund$164M61Mar 14, 2022
      H••• P••••••• I•• L•Other Private Fund$89.0M57Jun 21, 2018
      H••••••••• C••••••• L•Private Equity Fund$9.4M30Mar 27, 2013
      H••• P••••••• I•• L•Private Equity Fund$2.6M30Mar 30, 2012
      H••• P••••••• I••• L•••Private Equity Fund$562,25831Mar 24, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• M•••••• L••••••• · Managercontrol
        since 05/2008 · owns 25% to 50%
      • N••••• K•••• D••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 05/2015 · owns less than 5%
      • T••••••• B••••••• R•••••• · Managercontrol
        since 05/2008 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 3.0
        Mar 14, 2017 to Mar 21, 2018
      • Other offices · unset to 1.0
        Mar 14, 2017 to Mar 21, 2018
      • Discretionary RAUM · $160M to $87.7M
        Mar 14, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 87700000.0
        Mar 14, 2017 to Mar 21, 2018
      • RAUM · $160M to $87.7M
        Mar 14, 2017 to Mar 21, 2018
      • Discretionary RAUM · $155M to $160M
        Mar 23, 2016 to Mar 14, 2017
      • RAUM · $155M to $160M
        Mar 23, 2016 to Mar 14, 2017
      • Business name · H••••••••• C•••••• to H••• P•••••••
        Jul 28, 2015 to Mar 23, 2016
      • Employees · 7 to 10
        Jul 28, 2015 to Mar 23, 2016
      • Discretionary RAUM · $173M to $155M
        Jul 28, 2015 to Mar 23, 2016
      • RAUM · $173M to $155M
        Jul 28, 2015 to Mar 23, 2016
      • Private funds · 6 to 3
        Jun 29, 2015 to Jul 28, 2015
      Signals
      1 dated events
      • H••••••••• C•••••• filed its initial SEC registration (Form ADV)
        Jun 29, 2015 · First SEC registration · fact
      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