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Former SEC-registered adviser

H••• L••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 168927SEC 801-107215IAPD
Legal name H••• L••• C•••••• L•
Latest filing Mar 29, 2022
First filing on the tape Jan 22, 2016 · 8 filings
RAUM
$295M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$295M gross assets
History
8 filings and snapshots on the tape
RAUM$295M as of Mar 29, 2022
Mar 30, 2017$579M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 30, 20170 then
Employees (5.A)6 as of Mar 29, 2022
Mar 30, 20174 then
Private funds1 as of Mar 29, 2022
Mar 30, 20171 then
RAUM -59% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$98.4MderivedRAUM 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
-59%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
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
  • 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)
  • 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
  • Pooled investment vehicles$295M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• L••• C•••••• M••••• F••• L••Hedge Fund$295M45Sep 23, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • P•••• D••••• · Principalcontrol
        since 07/2013 · owns 75% or more
      • P•••• D••••• · Founding Partnercontrol
        since 07/2013 · owns 75% or more of H••• L••• G•••••• P•••••• L••
      • C••••••• Y••••••• L•••••• · Cfo And Cco
        since 08/2013 · owns less than 5%
      Entity owners
      • H••• L••• G•••••• P•••••• L•• · G•••••• Partner Of The Adviser
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••• L••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $712M to $295M
        Mar 31, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $712M to $295M
        Mar 31, 2021 to Mar 29, 2022
      • RAUM · $712M to $295M
        Mar 31, 2021 to Mar 29, 2022
      • Advisory employees · 5 to 6
        Mar 27, 2020 to Mar 31, 2021
      • Assets in custody · $625M to $0
        Mar 27, 2020 to Mar 31, 2021
      • Custody of client assets · true to false
        Mar 27, 2020 to Mar 31, 2021
      • Employees · 5 to 6
        Mar 27, 2020 to Mar 31, 2021
      • Discretionary RAUM · $625M to $712M
        Mar 27, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $625M to $712M
        Mar 27, 2020 to Mar 31, 2021
      • RAUM · $625M to $712M
        Mar 27, 2020 to Mar 31, 2021
      • Assets in custody · $1.1B to $625M
        Mar 27, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.1B to $625M
        Mar 27, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.1B to $625M
        Mar 27, 2019 to Mar 27, 2020
      • RAUM · $1.1B to $625M
        Mar 27, 2019 to Mar 27, 2020
      • Assets in custody · $1.3B to $1.1B
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 29, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $1.3B to $1.1B
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $1.3B to $1.1B
        Mar 29, 2018 to Mar 27, 2019
      • Advisory employees · 4 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $584M to $1.3B
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 4 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $579M to $1.3B
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1264394141.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $579M to $1.3B
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $504M to $584M
        Jan 22, 2016 to Mar 30, 2017
      • Private funds · 2 to 1
        Jan 22, 2016 to Mar 30, 2017
      • Discretionary RAUM · $504M to $579M
        Jan 22, 2016 to Mar 30, 2017
      • RAUM · $504M to $579M
        Jan 22, 2016 to Mar 30, 2017
      Signals
      4 dated events
      • H••• L••• C•••••• reported RAUM $295.3M, down 59% from $712.2M (2021-03-31 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • H••• L••• C•••••• reported RAUM $624.7M, down 42% from $1.1B (2019-03-27 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • H••• L••• C•••••• reported RAUM $1.3B, up 118% from $578.9M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • H••• L••• C•••••• filed its initial SEC registration (Form ADV)
        Jan 22, 2016 · 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