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 168836SEC 801-79109IAPD
Latest filing Jan 20, 2016
First filing on the tape Jan 15, 2014 · 9 filings
RAUM
$300M
reported, Item 5.F
Discretionary
97%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$179M gross assets
History
9 filings and snapshots on the tape
RAUM$300M as of Mar 31, 2015
Mar 31, 2014$209M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 31, 20140 then
Employees (5.A)5 as of Mar 31, 2015
Mar 31, 20145 then
Private funds3 as of Mar 31, 2015
Mar 31, 20143 then
RAUM +44% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 20, 2016; 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
$60.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
+44%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 vehiclesreportedItem 5.G
Custody
$280M, 3 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$280M for 3 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•••••• A••••• M••••• F••• L•••Hedge Fund$68.3M8Apr 4, 2012
      H•••••• E••• P••••••• L•no longer reportedHedge Fund$64.9M1Jan 15, 2014
      H•••••• L••••••••• M••••• L•••no longer reportedHedge Fund$52.2M1Apr 4, 2012
      H•••••• E•••••• P••••• A•• I••••••••• C•••••• M••••• F••• I• L•Hedge Fund$035Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• M•••••• · Chairman, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • G•••••••• A•••• · Chief Financial Officer, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • H•••• J•••••• W••• · Director Of Client Relations, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • H••••••••• T•••••• P••• · Chief Operating Officer, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • K•••••• K••••• R••• · Vice Chairman, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • M••••••••• S•••••• · Chief Compliance Officer, Associate General Counsel, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • M••••• M•••••• K•••• · General Counsel, Managing Principalcontrol
        since 07/2013 · owns less than 5%
      • S•••••• M•••• N••••• · Portfolio Manager, Managing Principalcontrol
        since 11/2015 · 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••••••• G• L•• · General Partner
        direct · owns less than 5%
      • H•••••• M••••••••• H••••••• L• · Limited Partner
        direct · owns 75% or more
      • H•••••• M••••••••• H••••••• G• L•• · General Partner
        indirect · owns F of H•••••• M••••••••• H••••••• L•
      • H•••••• M••••••••• P••••••• L• · Limited 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
      • Advisory employees · 5 to 3
        Mar 31, 2015 to Oct 29, 2015
      • Employees · 5 to 3
        Mar 31, 2015 to Oct 29, 2015
      • Private funds · 3 to 2
        Mar 31, 2015 to Oct 29, 2015
      • Accounts · 4 to 5
        Apr 30, 2014 to Mar 31, 2015
      • Assets in custody · $208M to $280M
        Apr 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $150M to $290M
        Apr 30, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $58.7M to $10.0M
        Apr 30, 2014 to Mar 31, 2015
      • RAUM · $209M to $300M
        Apr 30, 2014 to Mar 31, 2015
      • Accounts · 3 to 4
        Feb 26, 2014 to Mar 31, 2014
      • Advisory employees · 4 to 5
        Feb 26, 2014 to Mar 31, 2014
      • Advisory activities · 3 to 2
        Feb 26, 2014 to Mar 31, 2014
      • Assets in custody · $162M to $208M
        Feb 26, 2014 to Mar 31, 2014
      • Employees · 4 to 5
        Feb 26, 2014 to Mar 31, 2014
      • Discretionary RAUM · $47.3M to $150M
        Feb 26, 2014 to Mar 31, 2014
      • Non-discretionary RAUM · $117M to $58.7M
        Feb 26, 2014 to Mar 31, 2014
      • RAUM · $164M to $209M
        Feb 26, 2014 to Mar 31, 2014
      Signals
      1 dated events
      • H•••••• L••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jan 15, 2014 · 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