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••••••• E••• M••••••••• ••• L••

Former SEC-registered adviserNew York, New YorkCRD 169320SEC 801-78693IAPD
Latest filing Mar 27, 2018
First filing on the tape Oct 8, 2013 · 25 filings
RAUM
$279M
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
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$279M as of Mar 27, 2018
Mar 31, 2014$2.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2018
Mar 31, 20141 then
Employees (5.A)9 as of Mar 27, 2018
Mar 31, 20141 then
Private funds: no history
RAUM +259% over the last fiscal year+124% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2018; 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
$69.8MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+259%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 assetsreportedItem 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
  • Investment companies$279M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C•••••••• T•••••• N••••••• · Ccocontrol
        since 02/2017 · owns less than 5%
      • S•••• R•••••• E••• · Cfocontrol
        since 02/2017 · owns less than 5%
      • P•••• H•••• J•• · Shareholdercontrol
        since 01/2006 · owns 75% or more of M•••• A•••• G••••• I••••••••• C••• L•••
      Entity owners
      • H••••••• E••• M••••••••• •••• L•• · Member
        direct · owns 75% or more
      • M•••• A•••• G••••• E••• H••••••• L••• · Member
        indirect · owns 75% or more of H••••••• E••• M••••••••• •••• L••
      • M•••• A•••• G••••• I••••••••• C••• L••• · Shareholder
        indirect · owns 75% or more of M•••• A•••• G••••• E••• H••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT3 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        Jun 21, 2017 to Mar 27, 2018
      • BD registered reps · 5 to 4
        Jun 21, 2017 to Mar 27, 2018
      • Charity clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • Corporate clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • HNW clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 21, 2017 to Mar 27, 2018
      • Employees · 10 to 9
        Jun 21, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Jun 21, 2017 to Mar 27, 2018
      • Discretionary RAUM · $88.7M to $279M
        Jun 21, 2017 to Mar 27, 2018
      • RAUM · $88.7M to $279M
        Jun 21, 2017 to Mar 27, 2018
      • Business name · R•••• C•••••• to H••••••• E••• M••••••••• ••• L••
        Apr 7, 2017 to Apr 24, 2017
      • Legal name · R•••• C•••••• A••••••• L•• to H••••••• E••• M••••••••• ••• L••
        Apr 6, 2017 to Apr 7, 2017
      • Advisory employees · 3 to 5
        Feb 2, 2017 to Apr 6, 2017
      • BD registered reps · 2 to 5
        Feb 2, 2017 to Apr 6, 2017
      • Employees · 4 to 10
        Feb 2, 2017 to Apr 6, 2017
      • HQ city · STAMFORD to NEW YORK
        Feb 2, 2017 to Apr 6, 2017
      • HQ state · CT to NY
        Feb 2, 2017 to Apr 6, 2017
      • Discretionary RAUM · $77.9M to $88.7M
        Feb 2, 2017 to Apr 6, 2017
      • RAUM · $77.9M to $88.7M
        Feb 2, 2017 to Apr 6, 2017
      • Related broker-dealer · false to true
        Feb 2, 2017 to Apr 6, 2017
      • Accounts · 3 to 4
        Nov 7, 2016 to Feb 1, 2017
      • Discretionary RAUM · $65.8M to $77.9M
        Nov 7, 2016 to Feb 1, 2017
      • RAUM · $65.8M to $77.9M
        Nov 7, 2016 to Feb 1, 2017
      • Discretionary RAUM · $48.6M to $65.8M
        Aug 30, 2016 to Sep 14, 2016
      • RAUM · $48.6M to $65.8M
        Aug 30, 2016 to Sep 14, 2016
      • HQ city · GREENWICH to STAMFORD
        May 3, 2016 to Aug 30, 2016
      • Accounts · 1 to 3
        Feb 22, 2016 to Mar 24, 2016
      • Advisory employees · 0 to 3
        Feb 22, 2016 to Mar 24, 2016
      • BD registered reps · 0 to 2
        Feb 22, 2016 to Mar 24, 2016
      • Employees · 1 to 4
        Feb 22, 2016 to Mar 24, 2016
      • Insurance-licensed employees · 1 to 0
        Feb 22, 2016 to Mar 24, 2016
      • State-registered IARs · 1 to 0
        Feb 22, 2016 to Mar 24, 2016
      • Discretionary RAUM · $24.9M to $48.6M
        Feb 22, 2016 to Mar 24, 2016
      • RAUM · $24.9M to $48.6M
        Feb 22, 2016 to Mar 24, 2016
      • Business name · R•••• C•••••• A••••••• L•• to R•••• C••••••
        Feb 18, 2016 to Feb 22, 2016
      • Discretionary RAUM · $2.5M to $24.9M
        Dec 5, 2014 to Mar 31, 2015
      • RAUM · $2.5M to $24.9M
        Dec 5, 2014 to Mar 31, 2015
      • HQ city · BRONXVILLE to GREENWICH
        Jun 24, 2014 to Sep 4, 2014
      Signals
      2 dated events
      • H••••••• E••• M••••••••• ••• L•• reported RAUM $279.4M, up 215% from $88.7M (2017-06-21 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      • R•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 8, 2013 · 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