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••• W•••• C••••••• L•

Former SEC-registered adviserCRD 284869SEC 801-113586IAPD
Latest filing May 31, 2022
First filing on the tape Jun 11, 2018 · 6 filings
RAUM
$241M
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
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$241M as of Feb 9, 2022
Mar 8, 2019$201M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 9, 2022
Mar 8, 20190 then
Employees (5.A)2 as of Feb 9, 2022
Mar 8, 20192 then
Private funds: no history
RAUM +71% over the last fiscal year+6.2% a year over threeIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of May 31, 2022; 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
$241MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+71%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$241M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• M••••••• C••••••• · Chief Compliance Officer And Managing Partnercontrol
        since 08/2016 · owns less than 5%
      • G•••••• M••••••• C••••••• · Chief Compliance Officer And Managing Partnercontrol
        since 08/2016 · owns 75% or more of H••• W•••• C•••••• G• L••
      Entity owners
      • H••• W•••• C•••••• G• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••• W•••• C•••••• G•• L••
        n
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to unset
        Feb 9, 2022 to May 31, 2022
      • HQ state · NY to unset
        Feb 9, 2022 to May 31, 2022
      • Other offices · 0 to 2
        Mar 5, 2021 to Feb 9, 2022
      • Discretionary RAUM · $141M to $241M
        Mar 5, 2021 to Feb 9, 2022
      • Pooled vehicle RAUM · $141M to $241M
        Mar 5, 2021 to Feb 9, 2022
      • RAUM · $141M to $241M
        Mar 5, 2021 to Feb 9, 2022
      • Discretionary RAUM · $157M to $141M
        Mar 13, 2020 to Mar 5, 2021
      • Pooled vehicle RAUM · $157M to $141M
        Mar 13, 2020 to Mar 5, 2021
      • RAUM · $157M to $141M
        Mar 13, 2020 to Mar 5, 2021
      • Discretionary RAUM · $201M to $157M
        Mar 8, 2019 to Mar 13, 2020
      • Pooled vehicle RAUM · $201M to $157M
        Mar 8, 2019 to Mar 13, 2020
      • RAUM · $201M to $157M
        Mar 8, 2019 to Mar 13, 2020
      • Discretionary RAUM · $300M to $201M
        Jun 11, 2018 to Mar 8, 2019
      • Pooled vehicle RAUM · $300M to $201M
        Jun 11, 2018 to Mar 8, 2019
      • RAUM · $300M to $201M
        Jun 11, 2018 to Mar 8, 2019
      Signals
      1 dated events
      • H••• W•••• C••••••• L• filed its initial SEC registration (Form ADV)
        Jun 11, 2018 · 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