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.

Former SEC-registered adviser

Hcap Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 166427SEC 801-77483IAPD
Latest filing Apr 13, 2021
First filing on the tape Dec 14, 2012 · 15 filings
RAUM
$129M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$129M as of Mar 29, 2021
Feb 24, 2014$92.4M then
HNW client RAUM$0 as of Mar 29, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Feb 24, 20140 then
Employees (5.A)7 as of Mar 29, 2021
Feb 24, 20146 then
Private funds: no history
RAUM -7.0% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2021; 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
$129MderivedRAUM 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
-7.0%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-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Edwin William Alvarez · Chief Compliance Officercontrol
        since 04/2018 · owns less than 5%
      • Paul Richard Buckanavage · Presidentcontrol
        since 10/2012 · owns 25% to 50%
      • Siva Raymond Jackson · Chief Financial Officercontrol
        since 10/2012 · owns less than 5%
      • Andrew Joseph Jolson · Ceocontrol
        since 10/2012 · owns less than 5%
      Entity owners
      • Jmp Holding LLC · Member
        direct · owns 50% to 75%
      • Jmp Group Inc. · Sole Member
        indirect · owns 75% or more of Jmp Holding LLC
      • Jmp Group LLC · Sole Shareholder
        indirect · owns 75% or more of Jmp Group Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 4
        Mar 30, 2020 to Mar 29, 2021
      • Employees · 9 to 7
        Mar 30, 2020 to Mar 29, 2021
      • Discretionary RAUM · $139M to $129M
        Mar 30, 2020 to Mar 29, 2021
      • RAUM · $139M to $129M
        Mar 30, 2020 to Mar 29, 2021
      • Advisory employees · 7 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 10 to 9
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $124M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $124M to $139M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $122M to $124M
        May 14, 2018 to Mar 29, 2019
      • RAUM · $122M to $124M
        May 14, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Mar 29, 2018 to May 14, 2018
      • Discretionary RAUM · $128M to $122M
        Mar 29, 2018 to May 14, 2018
      • RAUM · $128M to $122M
        Mar 29, 2018 to May 14, 2018
      • Advisory employees · 5 to 7
        Mar 29, 2017 to Mar 29, 2018
      • BD registered reps · 0 to 1
        Mar 29, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 5 to 10
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $144M to $128M
        Mar 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $144M to $128M
        Mar 29, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 5
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 6 to 5
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $149M to $144M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $149M to $144M
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $120M to $149M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $120M to $149M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 6
        Dec 4, 2014 to Mar 31, 2015
      • Discretionary RAUM · $92.4M to $120M
        Dec 4, 2014 to Mar 31, 2015
      • RAUM · $92.4M to $120M
        Dec 4, 2014 to Mar 31, 2015
      • Accounts · unset to 1.0
        May 8, 2013 to Feb 24, 2014
      • Advisory employees · 3 to 4
        May 8, 2013 to Feb 24, 2014
      Signals
      1 dated events
      • Hcc Advisors Llc filed its initial SEC registration (Form ADV)
        Dec 14, 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