DFX Intelligence
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H•••••••• C•••••• P••••••• L•
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $666M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $666M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +383%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $138MRAUM now $666M
- RAUM (Item 5.F) 634461915Peer median 0.0837791625042067
- Contact points 2
Every filed figure, and the identifiersCRD 309942 · SEC 801-119477 · 13 filingsShowHide
CRD 309942SEC 801-119477First filing on the tape Aug 17, 2020, latest May 26, 2026SEC status approved since Sep 16, 2020IAPD
RAUM
$666M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$666M as of May 26, 2026
Feb 23, 2021$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 26, 2026
Feb 23, 20210 then
Employees (5.A)4 as of May 26, 2026
Feb 23, 20214 then
Private funds1 as of May 26, 2026
Feb 23, 20211 then
RAUM +383% over the last fiscal year+65% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 26, 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
- $222MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +360%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
- $327M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$666M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $327M for 3 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••••• C•••••• M••••• F••• L••• | Hedge Fund | $634M | 74 | Jan 13, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G•••• S••••••• J••••• · Chief Compliance Officer / Chief Financial Officer / Chief Operating Officercontrolsince 03/2023 · owns less than 5%
- P••••••• R•••• R•••••• · Managing Partnercontrolsince 01/2020 · owns 75% or more
- P••••••• R•••• R•••••• · Managing Membercontrolsince 01/2020 · owns 75% or more of H•••••••• C•••••• H••••••• L••
Entity owners
- H•••••••• C•••••• H••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H•••••••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $137,798,443 to $634,461,915 (+360.0%) between the annual amendments of 2025-03-18 and 2026-03-26; the peer median change was +8.0% (672 comparable advisers, 99.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 99% percentile
What changed
consecutive filings, newest first
- Assets in custody · $349M to $327MMar 26, 2026 to May 26, 2026
- Discretionary RAUM · $634M to $666MMar 26, 2026 to May 26, 2026
- Pooled vehicle RAUM · $634M to $666MMar 26, 2026 to May 26, 2026
- RAUM · $634M to $666MMar 26, 2026 to May 26, 2026
- Advisory employees · 2 to 3Mar 18, 2025 to Mar 26, 2026
- Assets in custody · $135M to $349MMar 18, 2025 to Mar 26, 2026
- Employees · 3 to 4Mar 18, 2025 to Mar 26, 2026
- Discretionary RAUM · $138M to $634MMar 18, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $138M to $634MMar 18, 2025 to Mar 26, 2026
- RAUM · $138M to $634MMar 18, 2025 to Mar 26, 2026
- Assets in custody · $160M to $135MDec 17, 2024 to Mar 18, 2025
- Financial planning clients · unset to Dec 17, 2024 to Mar 18, 2025
- Discretionary RAUM · $160M to $138MDec 17, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $160M to $138MDec 17, 2024 to Mar 18, 2025
- RAUM · $160M to $138MDec 17, 2024 to Mar 18, 2025
- Assets in custody · $149M to $160MJun 1, 2023 to Mar 22, 2024
- Discretionary RAUM · $149M to $160MJun 1, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $149M to $160MJun 1, 2023 to Mar 22, 2024
- RAUM · $149M to $160MJun 1, 2023 to Mar 22, 2024
- HQ city · NEW MILFORD to NEW YORKMar 6, 2023 to Jun 1, 2023
- HQ state · CT to NYMar 6, 2023 to Jun 1, 2023
- Advisory employees · 4 to 2Mar 17, 2022 to Mar 6, 2023
- Assets in custody · $161M to $149MMar 17, 2022 to Mar 6, 2023
- Employees · 5 to 3Mar 17, 2022 to Mar 6, 2023
- HQ city · WHITE PLAINS to NEW MILFORDMar 17, 2022 to Mar 6, 2023
- HQ state · NY to CTMar 17, 2022 to Mar 6, 2023
- Discretionary RAUM · $161M to $149MMar 17, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $161M to $149MMar 17, 2022 to Mar 6, 2023
- RAUM · $161M to $149MMar 17, 2022 to Mar 6, 2023
- Assets in custody · $125M to $161MSep 14, 2021 to Mar 17, 2022
- Discretionary RAUM · $125M to $161MSep 14, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $125M to $161MSep 14, 2021 to Mar 17, 2022
- RAUM · $125M to $161MSep 14, 2021 to Mar 17, 2022
- Advisory employees · 3 to 4Feb 23, 2021 to Aug 3, 2021
- Assets in custody · $0 to $125MFeb 23, 2021 to Aug 3, 2021
- Custody of client assets · false to trueFeb 23, 2021 to Aug 3, 2021
- Employees · 4 to 5Feb 23, 2021 to Aug 3, 2021
- Discretionary RAUM · $159M to $125MFeb 23, 2021 to Aug 3, 2021
- Pooled vehicle RAUM · $159M to $125MFeb 23, 2021 to Aug 3, 2021
- RAUM · $159M to $125MFeb 23, 2021 to Aug 3, 2021
Signals
5 dated events
- ••• LockedMay 26, 2026 · private fund gav change · fact
- ••• LockedMar 26, 2026 · RAUM change · derived
- ••• LockedMar 6, 2023 · Control person left · inference
- ••• LockedAug 3, 2021 · Control person joined · fact
- ••• LockedAug 17, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, May 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, May 26, 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