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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H••••••• E••• M••••••••• •••• L••

Former SEC-registered adviserNew York, New YorkCRD 164966SEC 801-76948IAPD
Latest filing Jun 21, 2017
First filing on the tape Jul 18, 2012 · 15 filings
RAUM
$62.4M
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
12
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$62.4M as of Mar 29, 2017
Jun 21, 2013$16.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Jun 21, 20131 then
Employees (5.A)12 as of Mar 29, 2017
Jun 21, 201313 then
Private funds: no history
RAUM -16% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2017; 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
$62.4MderivedRAUM 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
-16%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• T•••••• N••••••• · Ccocontrol
        since 05/2014 · owns less than 5%
      • L••• T•••••• · Managing Directorcontrol
        since 02/2013 · owns less than 5%
      • P•••• T•••••• J•••••••• · Directorcontrol
        since 02/2013 · owns less than 5%
      • S•••• R•••••• E••• · Director & Cfocontrol
        since 03/2014 · owns less than 5%
      • P•••• H•••• J•• · Shareholdercontrol
        since 01/2006 · owns 75% or more of M•••• A•••• G••••• I••••••••• C••• L•••
      Entity owners
      • M•••• A•••• G••••• E••• H••••••• L••• · Member
        direct · owns 75% or more
      • M•••• A•••• G••••• I••••••••• C••• L••• · Shareholder
        indirect · owns 75% or more of M•••• A•••• G••••• E••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list H••••••• E••• M••••••••• •••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 28, 2016 to Mar 29, 2017
      • Discretionary RAUM · $74.7M to $62.4M
        Mar 28, 2016 to Mar 29, 2017
      • RAUM · $74.7M to $62.4M
        Mar 28, 2016 to Mar 29, 2017
      • Accounts · 3 to 2
        Mar 27, 2015 to Mar 28, 2016
      • Advisory employees · 3 to 5
        Mar 27, 2015 to Mar 28, 2016
      • BD registered reps · 2 to 3
        Mar 27, 2015 to Mar 28, 2016
      • Employees · 9 to 12
        Mar 27, 2015 to Mar 28, 2016
      • Discretionary RAUM · $41.3M to $74.7M
        Mar 27, 2015 to Mar 28, 2016
      • RAUM · $41.3M to $74.7M
        Mar 27, 2015 to Mar 28, 2016
      • Accounts · 2 to 3
        Jan 5, 2015 to Mar 27, 2015
      • Advisory employees · 2 to 3
        Jan 5, 2015 to Mar 27, 2015
      • Employees · 13 to 9
        Jan 5, 2015 to Mar 27, 2015
      • Discretionary RAUM · $31.2M to $41.3M
        Jan 5, 2015 to Mar 27, 2015
      • RAUM · $31.2M to $41.3M
        Jan 5, 2015 to Mar 27, 2015
      • Accounts · 1 to 2
        Oct 2, 2013 to Mar 19, 2014
      • Advisory employees · 3 to 2
        Oct 2, 2013 to Mar 19, 2014
      • BD registered reps · 1 to 2
        Oct 2, 2013 to Mar 19, 2014
      • State-registered IARs · 1 to 0
        Oct 2, 2013 to Mar 19, 2014
      • Discretionary RAUM · $16.1M to $31.2M
        Oct 2, 2013 to Mar 19, 2014
      • RAUM · $16.1M to $31.2M
        Oct 2, 2013 to Mar 19, 2014
      • Accounts · 0 to 1
        Mar 28, 2013 to Jun 21, 2013
      • Advisory employees · 2 to 3
        Mar 28, 2013 to Jun 21, 2013
      • Employees · 6 to 13
        Mar 28, 2013 to Jun 21, 2013
      • Discretionary RAUM · $0 to $16.1M
        Mar 28, 2013 to Jun 21, 2013
      • RAUM · $0 to $16.1M
        Mar 28, 2013 to Jun 21, 2013
      • Related broker-dealer · false to true
        Mar 28, 2013 to Jun 21, 2013
      • Advisory employees · unset to 2.0
        Jul 18, 2012 to Dec 5, 2012
      • BD registered reps · unset to 1.0
        Jul 18, 2012 to Dec 5, 2012
      • Employees · unset to 6.0
        Jul 18, 2012 to Dec 5, 2012
      • State-registered IARs · unset to 1.0
        Jul 18, 2012 to Dec 5, 2012
      Signals
      1 dated events
      • H••••••• E••• M••••••••• •••• L•• filed its initial SEC registration (Form ADV)
        Jul 18, 2012 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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