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•••••• P••••••• L••
Latest filing Jun 11, 2026
First filing on the tape Mar 30, 2023 · 10 filings
SEC status approved since May 1, 2023
RAUM
$468M
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
13
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$468M as of Jun 11, 2026
Mar 28, 2024$221M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 11, 2026
Mar 28, 20240 then
Employees (5.A)13 as of Jun 11, 2026
Mar 28, 202410 then
Private funds6 as of Jun 11, 2026
Mar 28, 20245 then
RAUM +37% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 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
- $58.5MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%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
- $468M, 8 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)
- 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$468M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $468M for 8 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=false 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• V••••••••• M••••• F••• L• | Venture Capital Fund | $186M | 71 | Mar 30, 2023 |
| H••••••• V••••••••• Q•• F•••• L••no longer reported | Private Equity Fund | $35.0M | 1 | Apr 21, 2022 |
| H••••••• M•••• R••••••••• L•• | Venture Capital Fund | $22.9M | 18 | Mar 30, 2023 |
| H••••••• F••••••••• L•• | Venture Capital Fund | $4.2M | 7 | Mar 30, 2023 |
| H••••••• M•••• R••••••••• I•• L•• | Venture Capital Fund | $4.0M | 5 | Mar 30, 2023 |
| H••••••• F••••••••• I•• L•• | Venture Capital Fund | $3.5M | 4 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S••••• · Chief Compliance Officer And Head Of Legalcontrolsince 07/2022 · owns less than 5%
- Z••••• Y•••••• · Managing Membercontrolsince 11/2021 · owns less than 5%
- M•••••• S•••••• N•• · Membercontrolsince 11/2021 · owns 25% to 50% of A••••••• L••
- Z••••• Y•••••• · Ownercontrolsince 11/2021 · owns 50% to 75% of H•••••••• D•••••• G••••• I•••
Entity owners
- H•••••••• D•••••• G••••• I••• · Memberdirect · owns 75% or more
- A•• C•••••• U• L•• · Ownerindirect · owns 25% to 50% of H•••••••• D•••••• G••••• I•••
- A••••••• I••• · Memberindirect · owns 75% or more of A•• C•••••• U• L••
- A••••••• L•• · Shareholderindirect · owns 75% or more of A••••••• I•••
Related persons
Schedule D 7.A
- H••••••• C•••••• P••••••• U• L••investment advisern
- H••••••• V••••••••• Q•• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Jul 2, 2025 to Mar 20, 2026
- Assets in custody · $341M to $468MJul 2, 2025 to Mar 20, 2026
- Employees · 15 to 13Jul 2, 2025 to Mar 20, 2026
- Financial planning clients · to 0Jul 2, 2025 to Mar 20, 2026
- Discretionary RAUM · $341M to $468MJul 2, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $341M to $468MJul 2, 2025 to Mar 20, 2026
- RAUM · $341M to $468MJul 2, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 2, 2025
- Accounts · 7 to 8Oct 3, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Oct 3, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 8Oct 3, 2024 to Mar 31, 2025
- Assets in custody · $221M to $341MOct 3, 2024 to Mar 31, 2025
- Employees · 10 to 15Oct 3, 2024 to Mar 31, 2025
- Private funds · 5 to 6Oct 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $221M to $341MOct 3, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $221M to $341MOct 3, 2024 to Mar 31, 2025
- RAUM · $221M to $341MOct 3, 2024 to Mar 31, 2025
- Accounts · 6 to 7Jul 28, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Jul 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 6 to 7Jul 28, 2023 to Mar 28, 2024
- Assets in custody · $155M to $221MJul 28, 2023 to Mar 28, 2024
- Employees · 11 to 10Jul 28, 2023 to Mar 28, 2024
- Other offices · 0 to 1Jul 28, 2023 to Mar 28, 2024
- Private funds · 4 to 5Jul 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $155M to $221MJul 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $155M to $221MJul 28, 2023 to Mar 28, 2024
- RAUM · $155M to $221MJul 28, 2023 to Mar 28, 2024
- Related adviser · false to trueJul 28, 2023 to Mar 28, 2024
- Private funds · 8 to 4Mar 30, 2023 to Jul 28, 2023
Signals
4 dated events
- H••••••• C•••••• P••••••• L•• reported RAUM $468.2M, up 37% from $341.0M (2025-07-02 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- H••••••• C•••••• P••••••• L•• reported RAUM $341.0M, up 54% from $220.9M (2024-10-03 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- William Lee Smallwood (Chief Operating Officer) no longer on Schedule A of H••••••• C•••••• P••••••• L•• (listed 2023-03-30, absent 2023-07-28)Jul 28, 2023 · Control person left · inference
- H••••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
- H••••••• C•••••• P••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hivemindcapitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- h•••••••••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-692-9525reportedpublic record, Form ADV, Jun 11, 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