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••••••
Legal name H••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2014 · 21 filings
SEC status approved since Apr 9, 2014
RAUM
$949M
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
13
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$949M as of Mar 31, 2026
Mar 31, 2015$223M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20150 then
Employees (5.A)13 as of Mar 31, 2026
Mar 31, 20157 then
Private funds6 as of Mar 31, 2026
Mar 31, 20152 then
RAUM +5.9% over the last fiscal year+11% a year over threeIARs 0 to 0offices 1 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
- $94.9MderivedRAUM 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
- +5.9%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
- $656M, 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
- 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$949M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $656M for 10 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=false 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• C•••••• S•••••••• F••• I••• L• | Private Equity Fund | $331M | 161 | Mar 30, 2020 |
| H•••••••• C•••••• S•••••••• F••• I•• L• | Private Equity Fund | $296M | 130 | Mar 31, 2023 |
| H•••••••• C•••••• S•••••••• F••• I•• L• | Private Equity Fund | $129M | 195 | Mar 30, 2016 |
| H•••••••• S•••••••• O••••••••• F•••• L• | Hedge Fund | $118M | 54 | Mar 30, 2012 |
| H•••••••• C•••••• S•••••••• F•••• L• | Private Equity Fund | $4.1M | 83 | Mar 30, 2012 |
| H•••••••• C•••••• S•••••••• J• C••••••••• L••no longer reported | Private Equity Fund | $2.5M | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••• H•••••• · Chief Financial Officercontrolsince 05/2024 · owns less than 5%
- J•••••••• K•••••••• A•• R•••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- P•••• I••• D••••• E••••• · Managing Partnercontrolsince 01/2007 · owns less than 5%
- P•••• I••• D••••• E••••• · Managing Partnercontrolsince 02/2002 · owns 75% or more of F•••••• P••••••••• L•
- P•••• I••• D••••• E••••• · Managing Partnercontrolsince 01/2007 · owns 75% or more of H•••••••• C•••••• A•••••••• L•
- P•••• I••• D••••• E••••• · Trusteecontrolsince 02/2002 · owns 75% or more of T•• H••••••••• T••••
Entity owners
- H•••••••• C•••••• A•••••••• L• · Managing Memberdirect · owns 75% or more
- F•••••• P••••••••• L• · Memberindirect · owns 50% to 75% of H•••••••• C•••••• A•••••••• L•
- H•••••••• C••••••• L•• · General Partnerindirect · owns F of H•••••••• C•••••• A•••••••• L•
- T•• H••••••••• T•••• · Memberindirect · owns 25% to 50% of H•••••••• C•••••• A•••••••• L•
Related persons
Schedule D 7.A
- H•••••••• C•••••• M••••••••• L••investment adviserpooled vehicle sponsorn
- H•••••••• C•••••• S•••••••• M••••••••• I•• L••investment adviserpooled vehicle sponsorn
- H•••••••• C•••••• S•••••••• M••••••••• I••• L••investment adviserpooled vehicle sponsorn
- H•••••••• C•••••• S•••••••• M••••••••• I•• L••investment adviserpooled vehicle sponsorn
- H•••••••• C•••••• S•••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
What changed
consecutive filings, newest first
- Advisory employees · 7 to 11Sep 30, 2025 to Mar 31, 2026
- Assets in custody · $896M to $656MSep 30, 2025 to Mar 31, 2026
- Employees · 11 to 13Sep 30, 2025 to Mar 31, 2026
- Other offices · 1 to 0Sep 30, 2025 to Mar 31, 2026
- Private funds · 5 to 6Sep 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $896M to $949MSep 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $896M to $949MSep 30, 2025 to Mar 31, 2026
- RAUM · $896M to $949MSep 30, 2025 to Mar 31, 2026
- HQ city · SAN FRANCISCO to NEW YORKMar 27, 2025 to Sep 30, 2025
- HQ state · CA to NYMar 27, 2025 to Sep 30, 2025
- Advisory employees · 5 to 7Jun 5, 2024 to Mar 27, 2025
- Assets in custody · $0 to $896MJun 5, 2024 to Mar 27, 2025
- Custody of client assets · false to trueJun 5, 2024 to Mar 27, 2025
- Employees · 8 to 11Jun 5, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $878M to $896MJun 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $878M to $896MJun 5, 2024 to Mar 27, 2025
- RAUM · $878M to $896MJun 5, 2024 to Mar 27, 2025
- Accounts · 9 to 10Jan 17, 2024 to Mar 27, 2024
- Pooled vehicle clients · 9 to 10Jan 17, 2024 to Mar 27, 2024
- Employees · 9 to 8Jan 17, 2024 to Mar 27, 2024
- Financial planning clients · 0 to unsetJan 17, 2024 to Mar 27, 2024
- Discretionary RAUM · $688M to $878MJan 17, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $688M to $878MJan 17, 2024 to Mar 27, 2024
- RAUM · $688M to $878MJan 17, 2024 to Mar 27, 2024
- Accounts · 7 to 9Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 7 to 9Mar 31, 2022 to Mar 31, 2023
- Private funds · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $722M to $688MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $722M to $688MMar 31, 2022 to Mar 31, 2023
- RAUM · $722M to $688MMar 31, 2022 to Mar 31, 2023
- Accounts · 6 to 7Sep 23, 2021 to Mar 31, 2022
- Advisory employees · 6 to 5Sep 23, 2021 to Mar 31, 2022
- Pooled vehicle clients · 6 to 7Sep 23, 2021 to Mar 31, 2022
- Employees · 10 to 9Sep 23, 2021 to Mar 31, 2022
- Discretionary RAUM · $549M to $722MSep 23, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $549M to $722MSep 23, 2021 to Mar 31, 2022
- RAUM · $549M to $722MSep 23, 2021 to Mar 31, 2022
- Advisory employees · 7 to 6Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $528M to $549MMar 30, 2020 to Mar 30, 2021
Signals
6 dated events
- Heather Cristin Brown (Chief Financial Officer) appeared on Schedule A of H•••••••• C••••••Jun 5, 2024 · Control person joined · fact
- H•••••••• C•••••• reported RAUM $877.7M, up 28% from $687.7M (2024-01-17 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- H•••••••• C•••••• reported RAUM $721.7M, up 31% from $549.1M (2021-09-23 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Williams David Jr. Cost (Partner) no longer on Schedule A of H•••••••• C•••••• (listed 2021-09-23, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ann Roche Kimberly Johanson (Chief Compliance Officer/Chief Financial Officer) appeared on Schedule A of H•••••••• C••••••Sep 23, 2021 · Control person joined · fact
- H•••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H•••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- H•••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/H••••••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-263-7300reportedpublic 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