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• C•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 174649SEC 801-80966IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 5, 2015 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$460M as of Mar 31, 2017
Mar 30, 2016$460M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20160 then
Employees (5.A)2 as of Mar 29, 2018
Mar 30, 201610 then
Private funds1 as of Mar 31, 2017
Mar 30, 20161 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
fixed fees, 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, 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
      T•••••••• P••••••• L••Private Equity Fund$460M284Sep 4, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M•••• · Ccocontrol
        since 11/2016 · owns less than 5%
      • H••••• D••••• R•••••• · Managing Membercontrol
        since 07/2009 · owns 25% to 50% of H••• L••
      • H••••• D••••• R•••••• · Limited Partnercontrol
        since 07/2009 · owns 25% to 50% of H•••• W•••• • A••••••••• L•
      • W••••• D••••••• M•••••• · Managing Membercontrol
        since 07/2009 · owns 25% to 50% of H••• L••
      • W••••• D••••••• M•••••• · Limited Partnercontrol
        since 07/2009 · owns 25% to 50% of H•••• W•••• • A••••••••• L•
      Entity owners
      • H•••• W•••• • A••••••••• L• · Sole Member
        direct · owns 75% or more
      • H••• L•• · General Partner
        indirect · owns F of H•••• W•••• • A••••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 9 to 2
        Mar 31, 2017 to Mar 29, 2018
      • BD registered reps · 7 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · 570029.0 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Custody of client assets · true to false
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 10 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 1 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · 460100000.0 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · 460100000.0 to unset
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $760,702 to $570,029
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $0 to $460M
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $460M to $0
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 9
        Sep 4, 2015 to Mar 30, 2016
      • BD registered reps · 3 to 7
        Sep 4, 2015 to Mar 30, 2016
      • Assets in custody · $1.8M to $760,702
        Sep 4, 2015 to Mar 30, 2016
      • Employees · 8 to 10
        Sep 4, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $311M to $460M
        Sep 4, 2015 to Mar 30, 2016
      • RAUM · $311M to $460M
        Sep 4, 2015 to Mar 30, 2016
      • Accounts · unset to 1.0
        Feb 5, 2015 to Sep 4, 2015
      • Advisory employees · 4 to 5
        Feb 5, 2015 to Sep 4, 2015
      • BD registered reps · 9 to 3
        Feb 5, 2015 to Sep 4, 2015
      • Assets in custody · unset to 1814000.0
        Feb 5, 2015 to Sep 4, 2015
      • Custody of client assets · false to true
        Feb 5, 2015 to Sep 4, 2015
      • Employees · 14 to 8
        Feb 5, 2015 to Sep 4, 2015
      • Private funds · unset to 1
        Feb 5, 2015 to Sep 4, 2015
      • Discretionary RAUM · unset to 0.0
        Feb 5, 2015 to Sep 4, 2015
      • Non-discretionary RAUM · unset to 310500000.0
        Feb 5, 2015 to Sep 4, 2015
      • RAUM · unset to 310500000.0
        Feb 5, 2015 to Sep 4, 2015
      Signals
      1 dated events
      • H• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 5, 2015 · 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