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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SEC-registered adviser

H••• P••• C•••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 281794SEC 801-106893websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Nov 2, 2015 · 21 filings
SEC status approved since Nov 4, 2015
RAUM
$3.4B
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
21
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
19
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$3.4B as of Mar 30, 2026
Feb 10, 2016$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Feb 10, 20160 then
Employees (5.A)21 as of Mar 30, 2026
Feb 10, 20163 then
Private funds19 as of Mar 30, 2026
Feb 10, 20163 then
RAUM -18% over the last fiscal year-5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
$136MderivedRAUM 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
-18%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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      19 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• P••• C•••••• P••••••• I•• L•Hedge Fund$1.3B50Mar 31, 2022
      H••• P••• C•••••• P••••••• I• L•Hedge Fund$801M47Mar 29, 2019
      H•• F••• L•Private Equity Fund$556M2Mar 27, 2020
      H••• P••• C•••••• P••••••• L•Hedge Fund$437M37Nov 2, 2015
      H••• P••• C•••••• P••••••• C••••••••• E• L•Hedge Fund$323M1Mar 30, 2018
      H•• F••• L•Private Equity Fund$164M2Mar 31, 2021
      H• F••• L•Private Equity Fund$142M6Mar 27, 2020
      H••• P••• D• F••• L•Private Equity Fund$74.6M25Mar 29, 2023
      H••• P••• C•••••• P••••••••• L•Hedge Fund$70.6M3Feb 10, 2016
      H••• P••• G• F••• L•Private Equity Fund$70.2M8Mar 29, 2023
      H•• F••• I• L•Private Equity Fund$67.7M1Mar 31, 2021
      H••• P••• J• F••• L•Private Equity Fund$35.6M12Mar 29, 2023
      H••• P••• C•••••• P••••••• C••••••••• E• L•Hedge Fund$21.2M1Mar 30, 2018
      H••• P••• C• F••• L•Private Equity Fund$14.4M1Mar 31, 2022
      O• A••••••••• L••Private Equity Fund$12.8M13Mar 29, 2019
      H••• P••• C•••••• C••••••••• P••••••• L•Hedge Fund$12.5M1Feb 10, 2016
      H••• P••• C•••••• P••••••• C••••••••• S• L•Hedge Fund$4.5M1Mar 30, 2018
      H••• P••• C•• F••• L•Private Equity Fund$3.6M1Mar 31, 2022
      H••• P••• S•• F•• L••no longer reportedLiquidity Fund$3.0M1Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J•••• · Partnercontrol
        since 08/2016 · owns less than 5%
      • H•••••• R•••• J•••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 07/2024 · owns less than 5%
      • R•••• S••••• I•• · Limited Partner And Managing Partnercontrol
        since 01/2016 · owns 75% or more
      • R•••• S••••• I•• · Membercontrol
        since 11/2014 · owns 75% or more of H••• P••• H••••••• L••
      Entity owners
      • H••• P••• H••••••• L•• · General Partner Of H••• P••• C•••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H• G• L••
        pooled vehicle sponsorn
      • H• G• L••
        pooled vehicle sponsorn
      • H••• P••• C•••••• P••••••• E• G• L••
        pooled vehicle sponsorn
      • H••• P••• C•••••• P••••••• G• L••
        pooled vehicle sponsorn
      • H••• P••• C•••••• P••••••• I• G• L••
        pooled vehicle sponsorn
      • H••• P••• C•••••• P••••••• I•• G• L••
        pooled vehicle sponsorn
      • H••• P••• C•••••• P••••••• S• G• L••
        pooled vehicle sponsorn
      • H• G• I• L••
        pooled vehicle sponsorn
      • H• G• L••
        pooled vehicle sponsorn
      • H• C• G• L••
        pooled vehicle sponsorn
      • H• D• G• L••
        pooled vehicle sponsorn
      • H• G• G• L••
        pooled vehicle sponsorn
      • H• J• G• L••
        pooled vehicle sponsorn
      • O• A••••••••• I••••••••• H••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boulder, CO
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $4.2B to $3.4B
        Mar 28, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $4.2B to $3.4B
        Mar 28, 2025 to Mar 30, 2026
      • RAUM · $4.2B to $3.4B
        Mar 28, 2025 to Mar 30, 2026
      • Accounts · 23 to 25
        Jul 30, 2024 to Mar 28, 2025
      • Advisory employees · 16 to 15
        Jul 30, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 23 to 25
        Jul 30, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        Jul 30, 2024 to Mar 28, 2025
      • Private funds · 18 to 19
        Jul 30, 2024 to Mar 28, 2025
      • Discretionary RAUM · $4.1B to $4.2B
        Jul 30, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $4.1B to $4.2B
        Jul 30, 2024 to Mar 28, 2025
      • RAUM · $4.1B to $4.2B
        Jul 30, 2024 to Mar 28, 2025
      • Accounts · 25 to 23
        Mar 29, 2023 to Mar 27, 2024
      • Advisory employees · 14 to 16
        Mar 29, 2023 to Mar 27, 2024
      • Employees · 19 to 21
        Mar 29, 2023 to Mar 27, 2024
      • Other offices · 0 to 1
        Mar 29, 2023 to Mar 27, 2024
      • Discretionary RAUM · $4.1B to $4.1B
        Mar 29, 2023 to Mar 27, 2024
      • Non-discretionary RAUM · $10.9M to $0
        Mar 29, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $4.1B to $4.1B
        Mar 29, 2023 to Mar 27, 2024
      • RAUM · $4.1B to $4.1B
        Mar 29, 2023 to Mar 27, 2024
      • Accounts · 22 to 25
        Nov 8, 2022 to Mar 29, 2023
      • Advisory employees · 10 to 14
        Nov 8, 2022 to Mar 29, 2023
      • Pooled vehicle clients · 20 to 23
        Nov 8, 2022 to Mar 29, 2023
      • Employees · 13 to 19
        Nov 8, 2022 to Mar 29, 2023
      • Private funds · 15 to 18
        Nov 8, 2022 to Mar 29, 2023
      • Discretionary RAUM · $4.0B to $4.1B
        Nov 8, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · $14.9M to $10.9M
        Nov 8, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $4.0B to $4.1B
        Nov 8, 2022 to Mar 29, 2023
      • RAUM · $4.0B to $4.1B
        Nov 8, 2022 to Mar 29, 2023
      • Accounts · 14 to 22
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 6 to 10
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 14 to 20
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 8 to 13
        Mar 31, 2021 to Mar 31, 2022
      • Private funds · 12 to 15
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.8B to $4.0B
        Mar 31, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $0 to $14.9M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.8B to $4.0B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $1.8B to $4.0B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 13 to 14
        Mar 27, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Mar 27, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 13 to 14
        Mar 27, 2020 to Mar 31, 2021
      Signals
      10 dated events
      • Stuart Schnabolk (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of H••• P••• C•••••• L• (listed 2024-03-27, absent 2024-07-30)
        Jul 30, 2024 · Control person left · inference
      • Jeffrey Ryan Howald (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of H••• P••• C•••••• L•
        Jul 30, 2024 · Control person joined · fact
      • H••• P••• C•••••• L• reported RAUM $4.0B, up 118% from $1.8B (2021-03-31 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • H••• P••• C•••••• L• reported RAUM $1.6B, up 84% from $882.5M (2019-07-12 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • T•••••• L••• O••••••••• (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of H••• P••• C•••••• L• (listed 2019-04-30, absent 2019-07-12)
        Jul 12, 2019 · Control person left · inference
      • Stuart Schnabolk (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of H••• P••• C•••••• L•
        Jul 12, 2019 · Control person joined · fact
      • H••• P••• C•••••• L• reported RAUM $833.8M, up 72% from $484.0M (2018-03-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • H••• P••• C•••••• L• reported RAUM $484.0M, up 48% from $327.2M (2017-06-09 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • S•• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Feb 10, 2016 · Succession (Item 4) · fact
      • S•• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 2, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      H•••P•••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-632-5420reportedpublic record, Form ADV, Mar 30, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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