DFX Intelligence
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SEC-registered adviser
H••••••• P••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 29, 2022 · 6 filings
SEC status approved since Aug 3, 2022
RAUM
$333M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$333M as of Mar 27, 2026
Mar 23, 2023$181M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 23, 20230 then
Employees (5.A)5 as of Mar 27, 2026
Mar 23, 20234 then
Private funds2 as of Mar 27, 2026
Mar 23, 20231 then
RAUM +9.2% over the last fiscal year+23% 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
- $41.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, 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
- +9.2%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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$238M71%
- State and municipal entities$95.6M29%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- 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=0.71 institutional_share=0.29 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• P••• P•••••••• L• | Hedge Fund | $89.5M | 40 | Jun 29, 2022 |
| H••••••• P••• O••••••••• F•••• L• | Hedge Fund | $0 | 0 | Apr 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• S•••• S• E••• · Managing Director, Researchcontrolsince 01/2020 · owns less than 5%
- M••••••• C••••• B•••• · Chief Financial Officer/Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- M•••••• G•••••• A••• · Managercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• P••• P••••••• G•• L••bankpooled vehicle sponsorn
- H• O••••••••• F••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 29% against a peer median of 0% (1568 comparable advisers, 99.0th percentile, 9.7 robust deviations)peers: asset managers, $100M to $500M (1,568) · 99% percentile
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-26, no on the filing of 2026-03-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Assets in custody · $6.3M to $0Mar 26, 2025 to Mar 27, 2026
- Custody of client assets · true to falseMar 26, 2025 to Mar 27, 2026
- Employees · 4 to 5Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $305M to $333MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $207M to $238MMar 26, 2025 to Mar 27, 2026
- RAUM · $305M to $333MMar 26, 2025 to Mar 27, 2026
- Advisory employees · 2 to 3Apr 26, 2024 to Mar 26, 2025
- Assets in custody · $4.3M to $6.3MApr 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Apr 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $245M to $305MApr 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $168M to $207MApr 26, 2024 to Mar 26, 2025
- RAUM · $245M to $305MApr 26, 2024 to Mar 26, 2025
- Accounts · 7 to 8Mar 28, 2024 to Apr 26, 2024
- Pooled vehicle clients · 6 to 7Mar 28, 2024 to Apr 26, 2024
- Private funds · 1 to 2Mar 28, 2024 to Apr 26, 2024
- Accounts · 6 to 7Mar 23, 2023 to Mar 28, 2024
- Assets in custody · $4.2M to $4.3MMar 23, 2023 to Mar 28, 2024
- Discretionary RAUM · $181M to $245MMar 23, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $181M to $168MMar 23, 2023 to Mar 28, 2024
- RAUM · $181M to $245MMar 23, 2023 to Mar 28, 2024
- Assets in custody · $0 to $4.2MJun 29, 2022 to Mar 23, 2023
- Custody of client assets · false to trueJun 29, 2022 to Mar 23, 2023
- Discretionary RAUM · $190M to $181MJun 29, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $190M to $181MJun 29, 2022 to Mar 23, 2023
- RAUM · $190M to $181MJun 29, 2022 to Mar 23, 2023
Signals
4 dated events
- Campbell Stanton Laird Coby (Managing Director, Business Development) no longer on Schedule A of H••••••• P••• C••••••• L•• (listed 2024-03-28, absent 2024-04-26)Apr 26, 2024 · Control person left · inference
- Joseph Brian Smith (Chief Financial Officer) no longer on Schedule A of H••••••• P••• C••••••• L•• (listed 2022-06-29, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Brian Craig Marshal (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of H••••••• P••• C••••••• L••Mar 23, 2023 · Control person joined · fact
- H••••••• P••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- h•••••••••.comreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- (203) 516-3710reportedpublic 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