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••• R•••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 19, 2015 · 16 filings
SEC status approved since Jul 1, 2015
RAUM
$4.5B
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
23
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$4.5B as of Mar 31, 2026
Mar 24, 2016$294M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 24, 20160 then
Employees (5.A)23 as of Mar 31, 2026
Mar 24, 20167 then
Private funds1 as of Mar 31, 2026
Mar 24, 20161 then
RAUM -11% over the last fiscal year+12% a year over threeIARs 0 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
- $906MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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
- $4.5B, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$4.5B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.5B for 5 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=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• R•••• M••••• F•••• L••• | Hedge Fund | $4.4B | 1,880 | Mar 24, 2015 |
| H••• R•••• P•••••••• L•••no longer reported | Hedge Fund | $142M | 75 | Mar 18, 2014 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• Z•••• S•••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- B••••••• D••••• S•••• · Chief Operating Officercontrolsince 02/2014 · owns 5% to 10%
- B••••• D••••• G••••• · Founder / Chief Investment Officercontrolsince 08/2007 · owns 75% or more
- L••••• J••••••• N•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- P••••• R•••• N•• · Principal/Partnercontrolsince 01/2023 · owns 5% to 10%
Related persons
Schedule D 7.A
- H••• R•••• M••••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
- Tiburon, CA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-05-05, yes on the filing of 2026-03-31peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 4 to 5May 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 5May 5, 2025 to Mar 31, 2026
- Assets in custody · unset to 4528021972.0May 5, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMay 5, 2025 to Mar 31, 2026
- Employees · 24 to 23May 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.1B to $4.5BMay 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.1B to $4.5BMay 5, 2025 to Mar 31, 2026
- RAUM · $5.1B to $4.5BMay 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 5, 2025
- Advisory employees · 9 to 10Mar 28, 2024 to Mar 26, 2025
- Employees · 23 to 24Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.4B to $5.1BMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $4.4B to $5.1BMar 28, 2024 to Mar 26, 2025
- RAUM · $4.4B to $5.1BMar 28, 2024 to Mar 26, 2025
- Advisory employees · 8 to 9Mar 31, 2023 to Mar 28, 2024
- Assets in custody · 0.0 to unsetMar 31, 2023 to Mar 28, 2024
- Employees · 21 to 23Mar 31, 2023 to Mar 28, 2024
- Other offices · 1 to 3Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.3B to $4.4BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.3B to $4.4BMar 31, 2023 to Mar 28, 2024
- RAUM · $3.3B to $4.4BMar 31, 2023 to Mar 28, 2024
- Employees · 20 to 21Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.9B to $3.3BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.9B to $3.3BMar 30, 2022 to Mar 31, 2023
- RAUM · $2.9B to $3.3BMar 30, 2022 to Mar 31, 2023
- Advisory employees · 7 to 8Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $524M to $0Mar 31, 2021 to Mar 30, 2022
- Custody of client assets · true to falseMar 31, 2021 to Mar 30, 2022
- Employees · 15 to 20Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.1B to $2.9BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.1B to $2.9BMar 31, 2021 to Mar 30, 2022
- RAUM · $2.1B to $2.9BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 6 to 7Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $292M to $524MMar 30, 2020 to Mar 31, 2021
- Employees · 14 to 15Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.5B to $2.1BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.5B to $2.1BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.5B to $2.1BMar 30, 2020 to Mar 31, 2021
- Assets in custody · $144M to $292MMar 28, 2019 to Mar 30, 2020
- Employees · 12 to 14Mar 28, 2019 to Mar 30, 2020
Signals
11 dated events
- H••• R•••• C•••••• M••••••••• L• reported RAUM $4.4B, up 34% from $3.3B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- William Eric Wolff (Partner / Portfolio Manager) no longer on Schedule A of H••• R•••• C•••••• M••••••••• L• (listed 2022-03-30, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Nmn Ravi Patna (Principal/Partner) appeared on Schedule A of H••• R•••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- Samir Zane Alajou (Chief Financial Officer) appeared on Schedule A of H••• R•••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- H••• R•••• C•••••• M••••••••• L• reported RAUM $2.9B, up 38% from $2.1B (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Justine Leung (Chief Compliance Officer) appeared on Schedule A of H••• R•••• C•••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- H••• R•••• C•••••• M••••••••• L• reported RAUM $2.1B, up 42% from $1.5B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- H••• R•••• C•••••• M••••••••• L• reported RAUM $1.5B, up 85% from $803.2M (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- H••• R•••• C•••••• M••••••••• L• reported RAUM $680.7M, up 61% from $423.3M (2017-03-23 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- H••• R•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 30, 2015 · Succession (Item 4) · fact
- H••• R•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••• R•••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hawk-ridge-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hawkridgellc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-594-7350reportedpublic 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