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••••• C•••••• L••
Latest filing Jun 1, 2018
First filing on the tape Jan 8, 2015 · 5 filings
RAUM
$391M
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
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$309M gross assets
History
5 filings and snapshots on the tape
RAUM$391M as of Jun 1, 2018
Aug 4, 2015$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2018
Aug 4, 20150 then
Employees (5.A)9 as of Jun 1, 2018
Aug 4, 201511 then
Private funds2 as of Jun 1, 2018
Aug 4, 20151 then
RAUM +27% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 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
- $195MderivedRAUM 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
- +27%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$391M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• M••••• F••• | Hedge Fund | $278M | 21 | Jan 8, 2015 |
| H••••• M••••• F••• S••••• I• | Hedge Fund | $30.7M | 3 | Aug 1, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••••••••• · Portfolio Managercontrolsince 08/2004 · owns less than 5%
- D••••••••• M•••• · Chief Investment Officercontrolsince 09/2004 · owns less than 5%
- D• C••••• G••••••• · Portfolio Managercontrolsince 08/2004 · owns less than 5%
- N••••• J•• · Chief Compliance Officercontrolsince 07/2011 · owns less than 5%
- S•••••••• D••••• J•••• · Chief Executive Officercontrolsince 09/2013 · owns less than 5%
- D••••••••• M•••• · Chief Investment Officercontrolsince 08/2004 · owns 75% or more of H••••• C•••••• ••••••• L••
Entity owners
- H••••• C•••••• U• L•• · Corporate Memberdirect · owns 75% or more
- H••••• C•••••• ••••••• L•• · Parent Undertaking Of Corporate Memberindirect · owns 75% or more of H••••• C•••••• U• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Aug 1, 2017 to Jun 1, 2018
- Advisory employees · 6 to 5Aug 1, 2017 to Jun 1, 2018
- Pooled vehicle clients · unset to 2.0Aug 1, 2017 to Jun 1, 2018
- Employees · 10 to 9Aug 1, 2017 to Jun 1, 2018
- Other offices · unset to 1.0Aug 1, 2017 to Jun 1, 2018
- Discretionary RAUM · $307M to $391MAug 1, 2017 to Jun 1, 2018
- Pooled vehicle RAUM · unset to 390774131.0Aug 1, 2017 to Jun 1, 2018
- RAUM · $307M to $391MAug 1, 2017 to Jun 1, 2018
- Employees · 12 to 10May 4, 2016 to Aug 1, 2017
- Private funds · 1 to 2May 4, 2016 to Aug 1, 2017
- Discretionary RAUM · $354M to $307MMay 4, 2016 to Aug 1, 2017
- RAUM · $354M to $307MMay 4, 2016 to Aug 1, 2017
- Employees · 11 to 12Aug 4, 2015 to May 4, 2016
- Discretionary RAUM · $205M to $354MAug 4, 2015 to May 4, 2016
- RAUM · $205M to $354MAug 4, 2015 to May 4, 2016
- Advisory employees · 8 to 6Jan 8, 2015 to Aug 4, 2015
- Employees · 13 to 11Jan 8, 2015 to Aug 4, 2015
- Discretionary RAUM · $278M to $205MJan 8, 2015 to Aug 4, 2015
- RAUM · $278M to $205MJan 8, 2015 to Aug 4, 2015
Signals
1 dated events
- H••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jan 8, 2015 · 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