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••••• P••• P••••••• L•

Former SEC-registered adviserCRD 171461SEC 801-80499websiteIAPD
Latest filing Mar 4, 2025
First filing on the tape Jun 13, 2014 · 25 filings
SEC status approved since Nov 28, 2014
RAUM
$276M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$276M as of Mar 4, 2025
Mar 27, 2015$90.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2025
Mar 27, 20150 then
Employees (5.A)5 as of Mar 4, 2025
Mar 27, 20159 then
Private funds1 as of Mar 4, 2025
Mar 27, 20151 then
RAUM -85% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2025; 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
$91.9MderivedRAUM 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
-85%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)
  • 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$276M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• P••• V•••• M••••• F••• L•Hedge Fund$1.8B4May 29, 2019
      H••••• P••• A•••• M••••• F••• L•••Hedge Fund$822M11Nov 3, 2021
      H••••• P••• O••••••••• M••••• F••• L•••Hedge Fund$815M18Jun 13, 2014
      H••••• P••• L•••••••• M••••• F••• L•••no longer reportedHedge Fund$546M10Mar 29, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• R•••••• M• · Chief Compliance Officer And Chief Operating Officercontrol
        since 04/2019 · owns less than 5%
      • D••••• T• T••• · Limited Partner And Chief Investment Officer.control
        since 12/2013 · owns 75% or more
      • V••••••••• J•••••• F•••••• · Limited Partnercontrol
        since 12/2013 · owns 10% to 25%
      • D••••• T•• T••• · Managing Membercontrol
        since 12/2013 · owns 75% or more of H••••• P••• C•••••• P••••••• L••
      Entity owners
      • H••••• P••• C•••••• P••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••• P••• P••••••• V•••• F••• G• L••
        pooled vehicle sponsorn
      • H••••• P••• V•••• O••••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 7 to 5
        Mar 4, 2024 to Mar 4, 2025
      • Financial planning clients · unset to
        Mar 4, 2024 to Mar 4, 2025
      • HQ city · unset to
        Mar 4, 2024 to Mar 4, 2025
      • HQ state · unset to
        Mar 4, 2024 to Mar 4, 2025
      • Discretionary RAUM · $1.8B to $276M
        Mar 4, 2024 to Mar 4, 2025
      • Pooled vehicle RAUM · $1.8B to $276M
        Mar 4, 2024 to Mar 4, 2025
      • RAUM · $1.8B to $276M
        Mar 4, 2024 to Mar 4, 2025
      • Accounts · 5 to 3
        Mar 27, 2023 to Mar 4, 2024
      • Advisory employees · 2 to 4
        Mar 27, 2023 to Mar 4, 2024
      • Pooled vehicle clients · 5 to 3
        Mar 27, 2023 to Mar 4, 2024
      • Employees · 6 to 7
        Mar 27, 2023 to Mar 4, 2024
      • Private funds · 2 to 1
        Mar 27, 2023 to Mar 4, 2024
      • Discretionary RAUM · $2.1B to $1.8B
        Mar 27, 2023 to Mar 4, 2024
      • Pooled vehicle RAUM · $2.1B to $1.8B
        Mar 27, 2023 to Mar 4, 2024
      • RAUM · $2.1B to $1.8B
        Mar 27, 2023 to Mar 4, 2024
      • Related adviser · true to false
        Mar 27, 2023 to Mar 4, 2024
      • Accounts · 9 to 5
        Jan 30, 2023 to Mar 27, 2023
      • Advisory employees · 5 to 2
        Jan 30, 2023 to Mar 27, 2023
      • Advisory activities · 2 to 1
        Jan 30, 2023 to Mar 27, 2023
      • Pension plan clients · 1.0 to unset
        Jan 30, 2023 to Mar 27, 2023
      • Pooled vehicle clients · 8 to 5
        Jan 30, 2023 to Mar 27, 2023
      • Employees · 11 to 6
        Jan 30, 2023 to Mar 27, 2023
      • Private funds · 3 to 2
        Jan 30, 2023 to Mar 27, 2023
      • Discretionary RAUM · $3.5B to $2.1B
        Jan 30, 2023 to Mar 27, 2023
      • Pension RAUM · 180068215.0 to unset
        Jan 30, 2023 to Mar 27, 2023
      • Pooled vehicle RAUM · $3.3B to $2.1B
        Jan 30, 2023 to Mar 27, 2023
      • RAUM · $3.5B to $2.1B
        Jan 30, 2023 to Mar 27, 2023
      • HQ city · NEW YORK to unset
        Aug 10, 2022 to Jan 27, 2023
      • HQ state · NY to unset
        Aug 10, 2022 to Jan 27, 2023
      • Advisory employees · 6 to 5
        Nov 3, 2021 to Mar 31, 2022
      • Employees · 12 to 11
        Nov 3, 2021 to Mar 31, 2022
      • Private funds · 4 to 3
        Nov 3, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.6B to $3.5B
        Nov 3, 2021 to Mar 31, 2022
      • Pension RAUM · $257M to $180M
        Nov 3, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.4B to $3.3B
        Nov 3, 2021 to Mar 31, 2022
      • RAUM · $2.6B to $3.5B
        Nov 3, 2021 to Mar 31, 2022
      • Related adviser · false to true
        Nov 3, 2021 to Mar 31, 2022
      • Private funds · 3 to 4
        Mar 19, 2021 to Nov 3, 2021
      • Accounts · 8 to 9
        Mar 29, 2020 to Mar 19, 2021
      • Pension plan clients · unset to 1.0
        Mar 29, 2020 to Mar 19, 2021
      Signals
      15 dated events
      • H••••• P••• P••••••• L• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $275.7M)
        Feb 2, 2026 · Left the SEC roster · derived
      • H••••• P••• P••••••• L• reported RAUM $275.7M, down 85% from $1.8B (2024-03-04 to 2025-03-04)
        Mar 4, 2025 · RAUM change · derived
      • H••••• P••• P••••••• L• reported RAUM $2.1B, down 41% from $3.5B (2023-01-30 to 2023-03-27)
        Mar 27, 2023 · RAUM change · derived
      • S Taranjit Sabharwal (Limited Partner) no longer on Schedule A of H••••• P••• P••••••• L• (listed 2022-05-23, absent 2022-08-10)
        Aug 10, 2022 · Control person left · inference
      • Seth Jonathan Otterman (Chief Financial Officer) no longer on Schedule A of H••••• P••• P••••••• L• (listed 2022-03-31, absent 2022-05-18)
        May 18, 2022 · Control person left · inference
      • H••••• P••• P••••••• L• reported RAUM $3.5B, up 34% from $2.6B (2021-11-03 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • H••••• P••• P••••••• L• reported RAUM $2.6B, down 35% from $4.0B (2020-03-29 to 2021-03-19)
        Mar 19, 2021 · RAUM change · derived
      • Seth Jonathan Otterman (Chief Financial Officer) appeared on Schedule A of H••••• P••• P••••••• L•
        Mar 19, 2021 · Control person joined · fact
      • M Robert Coors (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of H••••• P••• P••••••• L•
        May 8, 2019 · Control person joined · fact
      • Ajai Thomas (Chief Compliance Officer) no longer on Schedule A of H••••• P••• P••••••• L• (listed 2019-03-29, absent 2019-05-08)
        May 8, 2019 · Control person left · inference
      • H••••• P••• P••••••• L• reported RAUM $3.3B, up 39% from $2.4B (2018-05-17 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Ajai Thomas (Chief Compliance Officer) appeared on Schedule A of H••••• P••• P••••••• L•
        Mar 29, 2019 · Control person joined · fact
      • David Glenn Morrison (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of H••••• P••• P••••••• L• (listed 2018-05-17, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • H••••• P••• P••••••• L• reported RAUM $2.4B, up 33% from $1.8B (2017-04-25 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      • H••••• P••• P••••••• L• filed its initial SEC registration (Form ADV)
        Jun 13, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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