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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

H•••••• L•••••••• C•••••

Former SEC-registered adviserNew York, New YorkCRD 170676SEC 801-79538IAPD
Legal name H•••••• L•••••••• C•••••• L••
Latest filing Aug 7, 2015
First filing on the tape Mar 31, 2014 · 5 filings
RAUM
$1.2B
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
12
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$1.2B gross assets
History
5 filings and snapshots on the tape
RAUM$1.2B as of Aug 7, 2015
Mar 31, 2014$358M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 7, 2015
Mar 31, 20140 then
Employees (5.A)12 as of Aug 7, 2015
Mar 31, 201411 then
Private funds6 as of Aug 7, 2015
Mar 31, 20144 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 7, 2015; 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
$178MderivedRAUM 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
unknownderivedbetween 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
$92.4M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$92.4M for 4 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• C•• I•• L••Securitized Asset Fund$426M2Mar 31, 2014
      H•••••• C•• I••• L•••Securitized Asset Fund$405M2Aug 12, 2014
      H•••••• C•• I• L•••Securitized Asset Fund$321M2Mar 31, 2014
      H•••••• L•••••••• C••••• M••••• F•••• L•••Hedge Fund$94.8M50Feb 18, 2014
      H•••••• C•• I•• L•••Securitized Asset Fund$02May 21, 2015
      H•••••• L•••••••• C••••• I••• L••Hedge Fund$00Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••••• B••••• R•••••• · Manager Of H•••••• L•••••••• C•••••control
        since 03/2013 · owns less than 5%
      • N••••••• K••••• J•••• · Member Of H•••••• L•••••••• C•••••control
        since 03/2013 · owns 5% to 10%
      • O••••••••• P•••••• N•••••••• · Manager And President Of H•••••• L•••••••• C•••••control
        since 04/2014 · owns 10% to 25%
      • J••••••••• B••••• R•••••• · Class A Membercontrol
        since 01/2008 · owns 50% to 75% of H•••••• H•••••• C••••••• L••
      • B••••••••• S••••• · Member Of H•••••• L•••••••• C•••••
        since 03/2013 · owns 5% to 10%
      • B••••• J••••••• R••••• · Member Of H•••••• L•••••••• C•••••
        since 03/2013 · owns 5% to 10%
      • G•••••• R••••••• M• · Chief Compliance Officer Of H•••••• L•••••••• C•••••
        since 07/2015 · owns less than 5%
      • U•••••• G•••• L••••• · Manager And Member Of H•••••• L•••••••• C•••••
        since 03/2013 · owns 5% to 10%
      • W•••••••• W•••••• H••••• · Manager And Member Of H•••••• L•••••••• C•••••
        since 03/2013 · owns 5% to 10%
      Entity owners
      • H•••••• H•••••• C••••••• L•• · Member Of H•••••• L•••••••• C•••••
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 5 to 6
        Mar 31, 2015 to May 21, 2015
      • Accounts · 6 to 7
        Aug 12, 2014 to Mar 31, 2015
      • Assets in custody · $60.5M to $92.4M
        Aug 12, 2014 to Mar 31, 2015
      • Employees · 11 to 12
        Aug 12, 2014 to Mar 31, 2015
      • Discretionary RAUM · $358M to $1.2B
        Aug 12, 2014 to Mar 31, 2015
      • RAUM · $358M to $1.2B
        Aug 12, 2014 to Mar 31, 2015
      • Private funds · 4 to 5
        Mar 31, 2014 to Aug 12, 2014
      Signals
      1 dated events
      • H•••••• L•••••••• C••••• filed its initial SEC registration (Form ADV)
        Mar 31, 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