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••••••••• C•••••• M••••••••• L•

Former SEC-registered adviserMiami Beach, FloridaCRD 310620SEC 801-121661IAPD
Latest filing Mar 30, 2022
First filing on the tape Jun 1, 2021 · 5 filings
RAUM
$880M
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
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$929M gross assets
History
5 filings and snapshots on the tape
RAUM$880M as of Mar 30, 2022
Jun 1, 2021$1.1B then
HNW client RAUM$0 as of Mar 30, 2022
Jun 1, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Jun 1, 20210 then
Employees (5.A)12 as of Mar 30, 2022
Jun 1, 20215 then
Private funds4 as of Mar 30, 2022
Jun 1, 20211 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
$147MderivedRAUM 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
unknownderivedbetween 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
$723M, 1 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$880M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$723M for 1 clientsreported
Compensation
% of AUM, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• C•••••• A••••••• F••• L•••Hedge Fund$723M3Jun 1, 2021
      H••••••••• F••• I• L•••Venture Capital Fund$49.9M16Sep 9, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• L•••• J• · Chief Compliance Officer And Controllercontrol
        since 01/2022 · owns less than 5%
      • P•••••• J•••• B•••• · Limited Partnercontrol
        since 06/2020 · owns less than 5%
      • P•••••• J•••• B•••• · Managing Membercontrol
        since 05/2020 · owns 75% or more of H••••••••• C•••••• L••
      Entity owners
      • H••••••••• C•••••• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••••••••• P••••••• N•••••• H••••••• L•
        investment adviserpooled vehicle sponsorn
      • H••••••••• P••••••• N•••••• M••••••••• L•
        investment advisern
      • H••••••••• V••••••• L••
        investment adviserbankn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 6
        Sep 15, 2021 to Mar 30, 2022
      • Advisory employees · 8 to 9
        Sep 15, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 2 to 6
        Sep 15, 2021 to Mar 30, 2022
      • Assets in custody · unset to 722641442.0
        Sep 15, 2021 to Mar 30, 2022
      • Custody of client assets · false to true
        Sep 15, 2021 to Mar 30, 2022
      • Employees · 8 to 12
        Sep 15, 2021 to Mar 30, 2022
      • Private funds · 2 to 4
        Sep 15, 2021 to Mar 30, 2022
      • Discretionary RAUM · $730M to $880M
        Sep 15, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $730M to $880M
        Sep 15, 2021 to Mar 30, 2022
      • RAUM · $730M to $880M
        Sep 15, 2021 to Mar 30, 2022
      • Accounts · 1 to 2
        Aug 2, 2021 to Sep 9, 2021
      • Advisory employees · 5 to 8
        Aug 2, 2021 to Sep 9, 2021
      • BD registered reps · 3 to 0
        Aug 2, 2021 to Sep 9, 2021
      • Pooled vehicle clients · 1 to 2
        Aug 2, 2021 to Sep 9, 2021
      • Employees · 5 to 8
        Aug 2, 2021 to Sep 9, 2021
      • Private funds · 1 to 2
        Aug 2, 2021 to Sep 9, 2021
      • Discretionary RAUM · $1.1B to $730M
        Aug 2, 2021 to Sep 9, 2021
      • Pooled vehicle RAUM · $1.1B to $730M
        Aug 2, 2021 to Sep 9, 2021
      • RAUM · $1.1B to $730M
        Aug 2, 2021 to Sep 9, 2021
      • HQ city · AUSTIN to MIAMI BEACH
        Jun 1, 2021 to Aug 2, 2021
      • HQ state · TX to FL
        Jun 1, 2021 to Aug 2, 2021
      Signals
      5 dated events
      • J Luke Mazey (Chief Compliance Officer And Controller) appeared on Schedule A of H••••••••• C•••••• M••••••••• L•
        Mar 30, 2022 · Control person joined · fact
      • Daniel Zachary Furnald (Chief Compliance Officer) no longer on Schedule A of H••••••••• C•••••• M••••••••• L• (listed 2021-09-15, absent 2022-03-30)
        Mar 30, 2022 · Control person left · inference
      • H••••••••• C•••••• M••••••••• L• reported RAUM $730.5M, down 31% from $1.1B (2021-08-02 to 2021-09-09)
        Sep 9, 2021 · RAUM change · derived
      • Daniel Zachary Furnald (Chief Compliance Officer) appeared on Schedule A of H••••••••• C•••••• M••••••••• L•
        Aug 2, 2021 · Control person joined · fact
      • H••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 1, 2021 · 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