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••• M••• C•••••• P•••••••• L•
Latest filing Mar 24, 2026
First filing on the tape Aug 12, 2021 · 11 filings
SEC status approved since Jun 30, 2022
RAUM
$2.7B
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.7B as of Mar 24, 2026
Mar 31, 2023$277M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 31, 20230 then
Employees (5.A)4 as of Mar 24, 2026
Mar 31, 20233 then
Private funds1 as of Mar 24, 2026
Mar 31, 20231 then
RAUM +26% over the last fiscal year+114% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $337MderivedRAUM 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
- +26%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
- $18.3M, 2 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.7B100%
- 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
- $18.3M for 2 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••• M••• M••••• F•••• L• | Hedge Fund | $10.0M | 11 | Aug 12, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A•••• R•••• · Chief Investment Officer & Limited Partnercontrolsince 05/2021 · owns 50% to 75%
- B•••••• C••••••••• A••••• · Chief Operating Officer & Chief Compliance Officer & Limited Partnercontrolsince 05/2021 · owns 10% to 25%
- V••••••••• D••••• A• · Senior Analyst & Limited Partnercontrolsince 05/2021 · owns 10% to 25%
- B••••••••• A•••• R•••• · Membercontrolsince 05/2021 · owns 50% to 75% of H••• M•••• L••
Entity owners
- H••• M•••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H••• M••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $13.7M to $18.3MSep 10, 2025 to Mar 24, 2026
- Discretionary RAUM · $2.1B to $2.7BSep 10, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $2.1B to $2.7BSep 10, 2025 to Mar 24, 2026
- RAUM · $2.1B to $2.7BSep 10, 2025 to Mar 24, 2026
- Accounts · 5 to 8Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 8Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $10.0M to $13.7MMar 28, 2024 to Mar 28, 2025
- Employees · 3 to 4Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $870M to $2.1BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $870M to $2.1BMar 28, 2024 to Mar 28, 2025
- RAUM · $870M to $2.1BMar 28, 2024 to Mar 28, 2025
- Accounts · 3 to 5Aug 2, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 5Aug 2, 2023 to Mar 28, 2024
- Assets in custody · $6.6M to $10.0MAug 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $277M to $870MAug 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $277M to $870MAug 2, 2023 to Mar 28, 2024
- RAUM · $277M to $870MAug 2, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 3Oct 28, 2022 to Mar 31, 2023
- Assets in custody · $6.0M to $6.6MOct 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $246M to $277MOct 28, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.0M to $277MOct 28, 2022 to Mar 31, 2023
- RAUM · $246M to $277MOct 28, 2022 to Mar 31, 2023
- Related bank · false to trueOct 28, 2022 to Mar 31, 2023
- Accounts · 2 to 3May 27, 2022 to Oct 28, 2022
- Assets in custody · $5.4M to $6.0MMay 27, 2022 to Oct 28, 2022
- Discretionary RAUM · $5.4M to $246MMay 27, 2022 to Oct 28, 2022
- Pooled vehicle RAUM · $5.4M to $6.0MMay 27, 2022 to Oct 28, 2022
- RAUM · $5.4M to $246MMay 27, 2022 to Oct 28, 2022
- Accounts · unset to 2.0Sep 27, 2021 to May 27, 2022
- Assets in custody · unset to 5352775.0Sep 27, 2021 to May 27, 2022
- Custody of client assets · false to trueSep 27, 2021 to May 27, 2022
- Discretionary RAUM · unset to 5352775.0Sep 27, 2021 to May 27, 2022
- Non-discretionary RAUM · unset to 0.0Sep 27, 2021 to May 27, 2022
- Pooled vehicle RAUM · $0 to $5.4MSep 27, 2021 to May 27, 2022
- RAUM · unset to 5352775.0Sep 27, 2021 to May 27, 2022
Signals
4 dated events
- H••• M••• C•••••• P•••••••• L• reported RAUM $2.7B, up 26% from $2.1B (2025-09-10 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- H••• M••• C•••••• P•••••••• L• reported RAUM $2.1B, up 147% from $870.0M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- H••• M••• C•••••• P•••••••• L• reported RAUM $870.0M, up 215% from $276.6M (2023-08-02 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- H••• M••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)Aug 12, 2021 · 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, Sep 19, 2026
- Principal office phone
- 212-804-9980reportedpublic record, Form ADV, Mar 24, 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