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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SEC-registered adviser
H•••••• C•••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Aug 11, 2022 · 9 filings
SEC status approved since Sep 12, 2022
RAUM
$6.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$3.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$6.9M as of Mar 6, 2026
Mar 24, 2023$0 then
HNW client RAUM$0 as of Mar 6, 2026
Mar 24, 2023$0 then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 24, 20232 then
Employees (5.A)2 as of Mar 6, 2026
Mar 24, 20232 then
Private funds: 1
RAUM +63% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
- RAUM per advisor
- $3.5MderivedRAUM 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
- $6.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.9M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••••• L•••••••• | New York, Ny | Sep 26, 2022 | 25 y | 0 |
| J••• J••••• G•••••••• | New York, Ny | Oct 7, 2022 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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 |
|---|---|---|---|---|
| W••••••• I••••••••• M••••• F••• I• S•• • H•••••• W•••• F••• M••••••• I• S••••••••• P•••••••• | Hedge Fund | $0 | 0 | Aug 11, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• J••••• · Chief Compliance Officercontrolsince 11/2020 · owns less than 5%
- L••••••••• P•••••••• S••••• · Managing Membercontrolsince 02/2015 · owns 75% or more of H•••••• C•••••• L••
Entity owners
- H•••••• C•••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $4.2M to $6.9MMar 11, 2025 to Mar 6, 2026
- RAUM · $4.2M to $6.9MMar 11, 2025 to Mar 6, 2026
- Financial planning clients · unset to Mar 13, 2024 to Mar 11, 2025
- Discretionary RAUM · $3.4M to $4.2MMar 13, 2024 to Mar 11, 2025
- RAUM · $3.4M to $4.2MMar 13, 2024 to Mar 11, 2025
- Accounts · 0 to 1Oct 12, 2023 to Mar 13, 2024
- Discretionary RAUM · $0 to $3.4MOct 12, 2023 to Mar 13, 2024
- RAUM · $0 to $3.4MOct 12, 2023 to Mar 13, 2024
- Advisory activities · 2 to 1Mar 24, 2023 to Oct 12, 2023
- Private funds · 1 to unsetMar 24, 2023 to Oct 12, 2023
- Charity clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Corporate clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- HNW clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Individual clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Pension plan clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Pooled vehicle clients · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- HNW RAUM · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Individual RAUM · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Pension RAUM · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Pooled vehicle RAUM · unset to 0.0Jan 6, 2023 to Mar 24, 2023
- Advisory activities · 1 to 2Nov 30, 2022 to Jan 6, 2023
Signals
1 dated events
- H•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 11, 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
- Firm profile
- linkedin.com/company/hypatia-capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/wceoetfreportedpublic record, Form ADV, Sep 18, 2026
- Website
- hypatiacapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-472-7500reportedpublic record, Form ADV, Mar 6, 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
- $3.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026