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••••• S••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167747SEC 801-106721IAPD
Latest filing Mar 24, 2023
First filing on the tape Sep 25, 2015 · 15 filings
RAUM
$620M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$620M gross assets
History
15 filings and snapshots on the tape
RAUM$620M as of Mar 24, 2023
Mar 29, 2016$820M then
HNW client RAUM$0 as of Mar 24, 2023
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2023
Mar 29, 20160 then
Employees (5.A)11 as of Mar 24, 2023
Mar 29, 20168 then
Private funds1 as of Mar 24, 2023
Mar 29, 20161 then
RAUM -41% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2023; 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
$207MderivedRAUM 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
-41%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
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$620M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• S••••• C•••••• P•••••••• L•no longer reportedHedge Fund$289M120Feb 27, 2014
      H••••• S••••• C•••••• P••••••• O•••••••• L•••no longer reportedHedge Fund$265M43Feb 27, 2014
      H••••• S••••• M••••• F•••• L•Hedge Fund$82.2M116Feb 27, 2014
      H••••• S••••• C•••••• S•• P•••••••• L•no longer reportedHedge Fund$6.6M5Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• B••••• G••••• · Chief Financial Officercontrol
        since 09/2020 · owns less than 5%
      • D••••• A•••• N•••• · Managing Partnercontrol
        since 07/2012 · owns 75% or more
      • Z••••• D••••• J••••••• · Chief Compliance Officer And Chief Operating Officercontrol
        since 02/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••• S••••• G•• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        Mar 11, 2022 to Mar 24, 2023
      • Employees · 12 to 11
        Mar 11, 2022 to Mar 24, 2023
      • Discretionary RAUM · $1.1B to $620M
        Mar 11, 2022 to Mar 24, 2023
      • Pooled vehicle RAUM · $1.1B to $620M
        Mar 11, 2022 to Mar 24, 2023
      • RAUM · $1.1B to $620M
        Mar 11, 2022 to Mar 24, 2023
      • Advisory employees · 8 to 7
        Mar 24, 2021 to Mar 11, 2022
      • Employees · 13 to 12
        Mar 24, 2021 to Mar 11, 2022
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 24, 2021 to Mar 11, 2022
      • Pooled vehicle RAUM · $1.3B to $1.1B
        Mar 24, 2021 to Mar 11, 2022
      • RAUM · $1.3B to $1.1B
        Mar 24, 2021 to Mar 11, 2022
      • Accounts · 4 to 3
        Sep 18, 2020 to Mar 24, 2021
      • Pooled vehicle clients · 4 to 3
        Sep 18, 2020 to Mar 24, 2021
      • Private funds · 2 to 1
        Sep 18, 2020 to Mar 24, 2021
      • Discretionary RAUM · $1.5B to $1.3B
        Sep 18, 2020 to Mar 24, 2021
      • Pooled vehicle RAUM · $1.5B to $1.3B
        Sep 18, 2020 to Mar 24, 2021
      • RAUM · $1.5B to $1.3B
        Sep 18, 2020 to Mar 24, 2021
      • Advisory employees · 7 to 8
        Mar 29, 2019 to Mar 18, 2020
      • Employees · 12 to 13
        Mar 29, 2019 to Mar 18, 2020
      • Discretionary RAUM · $932M to $1.5B
        Mar 29, 2019 to Mar 18, 2020
      • Pooled vehicle RAUM · $932M to $1.5B
        Mar 29, 2019 to Mar 18, 2020
      • RAUM · $932M to $1.5B
        Mar 29, 2019 to Mar 18, 2020
      • Accounts · 3 to 4
        Feb 26, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 4
        Feb 26, 2019 to Mar 29, 2019
      • Private funds · 1 to 2
        Feb 26, 2019 to Mar 29, 2019
      • Discretionary RAUM · $1.4B to $932M
        Feb 26, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.4B to $932M
        Feb 26, 2019 to Mar 29, 2019
      • RAUM · $1.4B to $932M
        Feb 26, 2019 to Mar 29, 2019
      • Advisory employees · 6 to 7
        Apr 24, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Apr 24, 2017 to Mar 28, 2018
      • Employees · 11 to 12
        Apr 24, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Discretionary RAUM · $946M to $1.4B
        Apr 24, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Apr 24, 2017 to Mar 28, 2018
      Signals
      10 dated events
      • H••••• S••••• C••••••• L•• reported RAUM $620.0M, down 41% from $1.1B (2022-03-11 to 2023-03-24)
        Mar 24, 2023 · RAUM change · derived
      • Graham Bryan Allman (Chief Financial Officer) appeared on Schedule A of H••••• S••••• C••••••• L••
        Sep 18, 2020 · Control person joined · fact
      • H••••• S••••• C••••••• L•• reported RAUM $1.5B, up 57% from $932.0M (2019-03-29 to 2020-03-18)
        Mar 18, 2020 · RAUM change · derived
      • H••••• S••••• C••••••• L•• reported RAUM $932.0M, down 32% from $1.4B (2019-02-26 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Jonathan David Zalta (Chief Compliance Officer, Chief Financial Officer And Chief Operating Officer) appeared on Schedule A of H••••• S••••• C••••••• L••
        Feb 26, 2019 · Control person joined · fact
      • Graham Bryan Allman (Chief Compliance Officer) no longer on Schedule A of H••••• S••••• C••••••• L•• (listed 2019-01-30, absent 2019-02-26)
        Feb 26, 2019 · Control person left · inference
      • Graham Bryan Allman (Chief Compliance Officer) appeared on Schedule A of H••••• S••••• C••••••• L••
        Jan 30, 2019 · Control person joined · fact
      • Chungho Steven Zang (Cfo, Cco) no longer on Schedule A of H••••• S••••• C••••••• L•• (listed 2018-03-28, absent 2019-01-30)
        Jan 30, 2019 · Control person left · inference
      • H••••• S••••• C••••••• L•• reported RAUM $1.4B, up 44% from $946.1M (2017-04-24 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      • H••••• S••••• C••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 25, 2015 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      H•••••S•••••.COMreportedpublic record, Form ADV, Sep 19, 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
      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