DFX Intelligence
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SEC-registered adviser
H••••• L••• A•••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 27, 2019 · 10 filings
SEC status approved since May 1, 2019
RAUM
$378M
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
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$378M as of Mar 27, 2026
Mar 24, 2020$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 24, 20200 then
Employees (5.A)10 as of Mar 27, 2026
Mar 24, 20209 then
Private funds3 as of Mar 27, 2026
Mar 24, 20202 then
RAUM +2.8% over the last fiscal year-0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $75.7MderivedRAUM 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
- +2.8%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
- Custody
- $378M, 5 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$378M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $378M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• L••• M••••• F••• L•• | Hedge Fund | $325M | 20 | Sep 26, 2018 |
| H••••• L••• J•••• M••••• F••• L•• | Hedge Fund | $61.9M | 3 | Mar 25, 2024 |
| H••••• L••• S•• I• L•• | Private Equity Fund | $1.5M | 2 | Mar 24, 2020 |
| H••••• L••• S•• I• L•• | Private Equity Fund | $966,974 | 3 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• K••••• D•••• · Cfo, Coo And Ccocontrolsince 05/2018 · owns less than 5%
- M••• K••••• K• W•• · Founder, Co- Portfolio M••••••, Limited Partnercontrolsince 05/2018 · owns 25% to 50%
- R••••••••• J•••••••• A••••• · Limited Partner, Co-Portfolio M••••••controlsince 01/2020 · owns 25% to 50%
- F•••••••• C••••• N•• · Trusteecontrolsince 12/2020 · owns F of K•••• M•• G•• E••••• T••••
- M••• K••••• K• W•• · Managing Membercontrolsince 05/2018 · owns 25% to 50% of H••••• L••• A•••• M••••••••• G• L••
- R••••••••• J•••••••• A••••• · Managing Membercontrolsince 01/2020 · owns 25% to 50% of H••••• L••• A•••• M••••••••• G• L••
Entity owners
- H••••• L••• A•••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- K•••• M•• G•• E••••• T•••• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- H••••• L••• F••• G• L••bankpooled vehicle sponsorn
- H••••• L••• S•• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 5Apr 4, 2025 to Mar 27, 2026
- Pooled vehicle clients · 8 to 5Apr 4, 2025 to Mar 27, 2026
- Assets in custody · $368M to $378MApr 4, 2025 to Mar 27, 2026
- Private funds · 4 to 3Apr 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $368M to $378MApr 4, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $368M to $378MApr 4, 2025 to Mar 27, 2026
- RAUM · $368M to $378MApr 4, 2025 to Mar 27, 2026
- Assets in custody · $390M to $368MMar 25, 2024 to Apr 4, 2025
- Financial planning clients · unset to Mar 25, 2024 to Apr 4, 2025
- Discretionary RAUM · $390M to $368MMar 25, 2024 to Apr 4, 2025
- Pooled vehicle RAUM · $390M to $368MMar 25, 2024 to Apr 4, 2025
- RAUM · $390M to $368MMar 25, 2024 to Apr 4, 2025
- Accounts · 5 to 8Mar 31, 2023 to Mar 25, 2024
- Advisory employees · 9 to 8Mar 31, 2023 to Mar 25, 2024
- Pooled vehicle clients · 5 to 8Mar 31, 2023 to Mar 25, 2024
- Assets in custody · $380M to $390MMar 31, 2023 to Mar 25, 2024
- Employees · 11 to 10Mar 31, 2023 to Mar 25, 2024
- Private funds · 3 to 4Mar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $380M to $390MMar 31, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $380M to $390MMar 31, 2023 to Mar 25, 2024
- RAUM · $380M to $390MMar 31, 2023 to Mar 25, 2024
- Assets in custody · $450M to $380MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $450M to $380MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $450M to $380MMar 30, 2022 to Mar 31, 2023
- RAUM · $450M to $380MMar 30, 2022 to Mar 31, 2023
- Accounts · 4 to 5Sep 10, 2021 to Mar 30, 2022
- Advisory employees · 8 to 9Sep 10, 2021 to Mar 30, 2022
- Pooled vehicle clients · 4 to 5Sep 10, 2021 to Mar 30, 2022
- Assets in custody · $494M to $450MSep 10, 2021 to Mar 30, 2022
- Employees · 10 to 11Sep 10, 2021 to Mar 30, 2022
- Private funds · 2 to 3Sep 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $494M to $450MSep 10, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $494M to $450MSep 10, 2021 to Mar 30, 2022
- RAUM · $494M to $450MSep 10, 2021 to Mar 30, 2022
- Advisory employees · 7 to 8Mar 24, 2020 to Mar 29, 2021
- Assets in custody · $177M to $494MMar 24, 2020 to Mar 29, 2021
- Employees · 9 to 10Mar 24, 2020 to Mar 29, 2021
- Other offices · 0 to 1Mar 24, 2020 to Mar 29, 2021
- Discretionary RAUM · $177M to $494MMar 24, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $177M to $494MMar 24, 2020 to Mar 29, 2021
Signals
4 dated events
- Nmn C•••• F••••••• (Trustee) appeared on Schedule A of H••••• L••• A•••• M••••••••• L•Mar 29, 2021 · Control person joined · fact
- H••••• L••• A•••• M••••••••• L• reported RAUM $493.9M, up 178% from $177.4M (2020-03-24 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Andrew Jonathan Rodriguez (Limited Partner, Co-Portfolio Manager) appeared on Schedule A of H••••• L••• A•••• M••••••••• L•Jan 10, 2020 · Control person joined · fact
- H••••• L••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)Mar 27, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••• L••• A•••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- H••••• L••• A•••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-237-1290reportedpublic record, Form ADV, Mar 27, 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