DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 308017SEC 801-118517IAPD

Latest filing Mar 27, 2026

First filing on the tape Mar 25, 2020 · 12 filings

SEC status approved since Apr 27, 2020

RAUM

$102M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

21 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$102M as of Mar 27, 2026

Mar 31, 2021$54.5M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2026

Mar 31, 20210 then

Employees (5.A)22 as of Mar 27, 2026

Mar 31, 202118 then

Private funds: no history

RAUM +2.1% over the last fiscal yearIARs 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: $102MderivedRAUM 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: unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year: +2.1%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: yesreportedItem 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

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)
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$102M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• G••• M•••• · Manager And Executive Vice Presidentcontrol
since 02/2020 · owns less than 5%
C•••••••• L••••• B• · Presidentcontrol
since 10/2023 · owns less than 5%
D•••••• M•••• C••••••••• · Executive Vice Presidentcontrol
since 02/2020 · owns less than 5%
D•••••••• P•••• D•••• · General Counselcontrol
since 02/2020 · owns less than 5%
H••••••• M••••••• S••••• · Chief Compliance Officercontrol
since 02/2020 · owns less than 5%
H•••• J••••• C••••••••• · Manager And Chief Executive Officercontrol
since 02/2020 · owns less than 5%
M••••••• R•••• B•••• · Managercontrol
since 02/2020 · owns less than 5%
P•••••• C••••••• A•••• · Managercontrol
since 02/2020 · owns less than 5%
S•••••• D•••••• C•••••• · Manager And Executive Vice Presidentcontrol
since 02/2020 · owns less than 5%
E••••••• S••••• H••• · Trusteecontrol
since 11/2013 · owns F of W•• D•••••• T••••
H•••• J••••• M•••••• · Trusteecontrol
since 11/2013 · owns F of W•• D•••••• T••••
H•••• J•••••• W•••••• · Trusteecontrol
since 11/2013 · owns F of W•• D•••••• T••••
H•••• M••••••• D••••• · Trusteecontrol
since 11/2013 · owns F of W•• D•••••• T••••

Entity owners

H••• E••• L••• · Member
direct · owns 75% or more
H• G•• L•• · General Partner
indirect · owns F of H••• E••• L•••
H••• C••••••••• I••• · Member
indirect · owns 75% or more of H••• C••••••• L••
H••• C••••••• L•• · Member
indirect · owns 75% or more of H••• E••• L•••
W•• D•••••• T•••• · Shareholder
indirect · owns 50% to 75% of H••• C••••••••• I•••

Related persons

Schedule D 7.A

A•••• F••• M••••••••• L••••••
investment adviserpooled vehicle sponsorn
A•••• I••••••••• I••••••••• A•••••• L••
investment advisernRAUM $186M
B•••• C••••••• L••
broker-dealern
H••• C•••••• P•••••••• L••
pooled vehicle sponsorn
H••• I••••••••• M••••••••• L••
investment advisernRAUM $118M
I••••••••• H•••••• S•••••••• S••••••
investment adviserpooled vehicle sponsorn
S•• F•••••••• L••
broker-dealern

Advisers that list H••• C•••••• M••••••••• L•• as a related person

Offices

Schedule D 1.F, the 25 largest

El Paso, TX6 employees
Denver, CO4 employees
Rye Brook, NY2 employees
Chicago, IL1 employees
Dallas, TX1 employees

What changed

consecutive filings, newest first

Discretionary RAUM · $100.0M to $102M
May 16, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $100.0M to $102M
May 16, 2025 to Mar 27, 2026
RAUM · $100.0M to $102M
May 16, 2025 to Mar 27, 2026
Financial planning clients · unset to
Mar 26, 2025 to May 16, 2025
Accounts · unset to 1.0
Mar 27, 2024 to Mar 26, 2025
Pooled vehicle clients · unset to 1.0
Mar 27, 2024 to Mar 26, 2025
Assets in custody · unset to 0.0
Mar 27, 2024 to Mar 26, 2025
Custody of client assets · false to true
Mar 27, 2024 to Mar 26, 2025
Discretionary RAUM · unset to 99972519.0
Mar 27, 2024 to Mar 26, 2025
Non-discretionary RAUM · unset to 0.0
Mar 27, 2024 to Mar 26, 2025
Pooled vehicle RAUM · unset to 99972519.0
Mar 27, 2024 to Mar 26, 2025
RAUM · unset to 99972519.0
Mar 27, 2024 to Mar 26, 2025
Advisory employees · 20 to 21
Mar 30, 2023 to Mar 27, 2024
Other offices · 6 to 5
Mar 30, 2023 to Mar 27, 2024
Accounts · 1.0 to unset
Mar 31, 2022 to Mar 30, 2023
Discretionary RAUM · 0.0 to unset
Mar 31, 2022 to Mar 30, 2023
Non-discretionary RAUM · 30174739.0 to unset
Mar 31, 2022 to Mar 30, 2023
RAUM · 30174739.0 to unset
Mar 31, 2022 to Mar 30, 2023
Accounts · 2 to 1
Mar 31, 2021 to Mar 30, 2022
Advisory employees · 15 to 20
Mar 31, 2021 to Mar 30, 2022
Employees · 18 to 22
Mar 31, 2021 to Mar 30, 2022
Other offices · 0 to 6
Mar 31, 2021 to Mar 30, 2022
Discretionary RAUM · $50.6M to $0
Mar 31, 2021 to Mar 30, 2022
Non-discretionary RAUM · $3.9M to $30.2M
Mar 31, 2021 to Mar 30, 2022
RAUM · $54.5M to $30.2M
Mar 31, 2021 to Mar 30, 2022
Accounts · 1 to 2
Oct 26, 2020 to Mar 31, 2021
Advisory employees · 16 to 15
Oct 26, 2020 to Mar 31, 2021
Employees · 21 to 18
Oct 26, 2020 to Mar 31, 2021
Discretionary RAUM · $32.5M to $50.6M
Oct 26, 2020 to Mar 31, 2021
Non-discretionary RAUM · $0 to $3.9M
Oct 26, 2020 to Mar 31, 2021
RAUM · $32.5M to $54.5M
Oct 26, 2020 to Mar 31, 2021
Accounts · unset to 1.0
Apr 1, 2020 to Oct 26, 2020
Discretionary RAUM · unset to 32460716.0
Apr 1, 2020 to Oct 26, 2020
Non-discretionary RAUM · unset to 0.0
Apr 1, 2020 to Oct 26, 2020
RAUM · unset to 32460716.0
Apr 1, 2020 to Oct 26, 2020

Signals

8 dated events

D••••• M•••••• H••• (Trustee) appeared on Schedule A of H••• C•••••• M••••••••• L••
Mar 27, 2024 · Control person joined · fact
B Louis Conforti (President) appeared on Schedule A of H••• C•••••• M••••••••• L••
Mar 27, 2024 · Control person joined · fact
Michael Jason H••• (Trustee) appeared on Schedule A of H••• C•••••• M••••••••• L••
Mar 27, 2024 · Control person joined · fact
H••• S•••• E•••••• (Trustee) appeared on Schedule A of H••• C•••••• M••••••••• L••
Mar 27, 2024 · Control person joined · fact
W•••••• H••• (Shareholder) no longer on Schedule A of H••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-30)
Mar 30, 2023 · Control person left · inference
Jeffrey Steven Gordon (Senior Managing Director) no longer on Schedule A of H••• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-30)
Mar 30, 2022 · Control person left · inference
H••• C•••••• M••••••••• L•• reported 6 offices beyond its principal office, up from 0 (2021-03-31 to 2022-03-30)
Mar 30, 2022 · Office count change · derived
H••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 25, 2020 · 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

Principal office phone: 212-588-2073reportedpublic 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