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•••••• L••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 165845SEC 801-77526IAPD
Latest filing Nov 24, 2015
First filing on the tape Dec 21, 2012 · 22 filings
RAUM
$7.3B
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
28
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
30
$8.8B gross assets
History
22 filings and snapshots on the tape
RAUM$7.3B as of Mar 31, 2015
Mar 25, 2013$7.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 25, 20130 then
Employees (5.A)28 as of Mar 31, 2015
Mar 25, 201324 then
Private funds28 as of Mar 31, 2015
Mar 25, 201322 then
RAUM -3.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 24, 2015; 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
$261MderivedRAUM 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
-3.0%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$77.2M, 4 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)
  • 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)
  • a related person has custody of client cash (9.B.1.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
28reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$77.2M for 4 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• S••••••••• A•••• M••••••••• E••••••• L••• S••••••••• U•••••••• C•• 2••••• B•••Securitized Asset Fund$507M0Mar 30, 2012
      H•••••• S••••••••• A•••• M••••••••• L••• S••••••••• U•••••••• 2••••• L•••Securitized Asset Fund$506M0Mar 30, 2012
      H•••••• S••••••••• A•••• M••••••••• L••• S••••••••• U•••••••• 2••••• L•••Securitized Asset Fund$228M0Mar 30, 2012
      H•••••• D•••••• C••••• F••• I• L•Hedge Fund$145M2Mar 31, 2014
      H•••••• S••••••••• A•••• M••••••••• C•• 2•••••• B•••Securitized Asset Fund$68.8M0Mar 30, 2012
      S• P•• L••• I• L••••••Hedge Fund$63.4M11Mar 25, 2013
      S•••• C•••••• P•• L••• I• P••no longer reportedHedge Fund$57.3M0Mar 30, 2012
      H•••••• S••••• L••• F••• I• M••••• L•Hedge Fund$21.2M16May 23, 2013
      H•••••• S••••••••• A•••• M••••••••• C•• I• L•••Securitized Asset Fund$19.2M0Mar 30, 2012
      S•••• C•••••• P•• L••• I•• P••Hedge Fund$10.7M1Mar 30, 2012
      S•••• C•••••• A••••••••• S••••••••• F•••• S••Hedge Fund$4.9M3Mar 25, 2013
      H•••••• S••••••••• A•••• M••••••••• L••• S••••••••• U•••••••• 2••••• L•••Securitized Asset Fund$148,4870Mar 30, 2012
      H•••••• S••••••••• A•••• M••••••••• L••• S••••••••• U•••••••• C•• 2••••• L•••Securitized Asset Fund$49,6430Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M•••••• · Chairmancontrol
        since 12/2009 · owns less than 5%
      • G•••••••• A•••• · Chief Financial Officer, Vice President, Treasurercontrol
        since 12/2009 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relations, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • H••••••••• T•••••• P••• · Chief Operating Officer, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • K•••••• K••••• R••• · Vice Chairmancontrol
        since 12/2009 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counsel, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • M••••• M•••••• K•••• · General Counsel, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • S••••• B••••• R••• · Chief Investment Officer, Portfolio Manager, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • S•••••• D••••• N••• · Portfolio Managercontrol
        since 12/2009 · owns less than 5%
      • Y••••• B••••• T••••• · Portfolio Manager, Head Trader, Managing Principalcontrol
        since 12/2009 · owns less than 5%
      • B••••• J•••• M•••••• · Managing Principalcontrol
        since 12/2012 · owns 25% to 50% of H•••••• M••••••••• P••••••• L•
      Entity owners
      • H•••••• M••••••••• H••••••• L• · Member
        direct · owns 75% or more
      • H•••••• M••••••••• H••••••• G• L•• · General Partner
        indirect · owns F of H•••••• M••••••••• H••••••• L•
      • H•••••• M••••••••• P••••••• L• · L•••••• Partner
        indirect · owns 75% or more of H•••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list H•••••• L••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 29 to 30
        Jul 31, 2015 to Nov 24, 2015
      • Private funds · 27 to 29
        Jul 1, 2015 to Jul 31, 2015
      • Private funds · 28 to 27
        Mar 31, 2015 to Jul 1, 2015
      • Accounts · 30 to 28
        Feb 26, 2015 to Mar 31, 2015
      • Assets in custody · $12.5M to $77.2M
        Feb 26, 2015 to Mar 31, 2015
      • Private funds · 34 to 28
        Feb 26, 2015 to Mar 31, 2015
      • Discretionary RAUM · $7.6B to $7.3B
        Feb 26, 2015 to Mar 31, 2015
      • RAUM · $7.6B to $7.3B
        Feb 26, 2015 to Mar 31, 2015
      • Private funds · 33 to 34
        Dec 3, 2014 to Feb 26, 2015
      • Private funds · 29 to 33
        Nov 17, 2014 to Nov 26, 2014
      • Accounts · 28 to 30
        Nov 14, 2014 to Nov 17, 2014
      • Discretionary RAUM · $7.5B to $7.6B
        Nov 14, 2014 to Nov 17, 2014
      • RAUM · $7.5B to $7.6B
        Nov 14, 2014 to Nov 17, 2014
      • Private funds · 28 to 29
        Jul 9, 2014 to Aug 27, 2014
      • Accounts · 25 to 28
        Dec 5, 2013 to Mar 31, 2014
      • Advisory employees · 13 to 14
        Dec 5, 2013 to Mar 31, 2014
      • Assets in custody · $17.2M to $12.5M
        Dec 5, 2013 to Mar 31, 2014
      • Employees · 24 to 28
        Dec 5, 2013 to Mar 31, 2014
      • Private funds · 25 to 28
        Dec 5, 2013 to Mar 31, 2014
      • Discretionary RAUM · $7.7B to $7.5B
        Dec 5, 2013 to Mar 31, 2014
      • RAUM · $7.7B to $7.5B
        Dec 5, 2013 to Mar 31, 2014
      • Accounts · 24 to 25
        Aug 28, 2013 to Dec 5, 2013
      • Assets in custody · $79.2M to $17.2M
        Aug 28, 2013 to Dec 5, 2013
      • Discretionary RAUM · $7.8B to $7.7B
        Aug 28, 2013 to Dec 5, 2013
      • RAUM · $7.8B to $7.7B
        Aug 28, 2013 to Dec 5, 2013
      • Private funds · 24 to 25
        May 23, 2013 to Aug 28, 2013
      • Accounts · 22 to 24
        Mar 25, 2013 to May 23, 2013
      • Assets in custody · $123M to $79.2M
        Mar 25, 2013 to May 23, 2013
      • Private funds · 22 to 24
        Mar 25, 2013 to May 23, 2013
      • Discretionary RAUM · $7.6B to $7.8B
        Mar 25, 2013 to May 23, 2013
      • RAUM · $7.6B to $7.8B
        Mar 25, 2013 to May 23, 2013
      • Accounts · 19 to 22
        Mar 4, 2013 to Mar 25, 2013
      • Advisory activities · 2 to 3
        Mar 4, 2013 to Mar 25, 2013
      • Assets in custody · $0 to $123M
        Mar 4, 2013 to Mar 25, 2013
      • Custody of client assets · false to true
        Mar 4, 2013 to Mar 25, 2013
      • Employees · 23 to 24
        Mar 4, 2013 to Mar 25, 2013
      • Private funds · 19 to 22
        Mar 4, 2013 to Mar 25, 2013
      • Discretionary RAUM · $7.4B to $7.6B
        Mar 4, 2013 to Mar 25, 2013
      • RAUM · $7.4B to $7.6B
        Mar 4, 2013 to Mar 25, 2013
      • Discretionary RAUM · $6.7B to $7.4B
        Dec 21, 2012 to Mar 4, 2013
      Signals
      1 dated events
      • H•••••• L••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 21, 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