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Former SEC-registered adviser

H••••••• A••••••• I••

Former SEC-registered adviserCRD 105342SEC 801-16724IAPD
Latest filing Mar 14, 2016
First filing on the tape Feb 23, 2012 · 6 filings
RAUM
$67.5M
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
$33.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$91.5M as of Feb 23, 2015
Feb 23, 2012$92.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 23, 2015
Feb 23, 20120 then
Employees (5.A)2 as of Feb 23, 2015
Feb 14, 20132 then
Private funds: no history
RAUM -29% over the last fiscal year-9.8% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 14, 2016; every figure names its basis
RAUM per advisor
$33.7MderivedRAUM 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
$1.9MderivedRAUM 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
-3.2%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••••• J••• H•••••••Greenwich, CtDec 17, 198245 y0
J••• B•••• H•••••••Greenwich, CtMar 30, 199240 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• D••••••• J••• · President / Chief Compliance Officercontrol
        since 01/2004 · owns 50% to 75%
      • H•••••••• J•••• B•••• · Vice Presidentcontrol
        since 01/2013 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Greenwich, Ct200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 30 to 36
        Feb 23, 2015 to Mar 14, 2016
      • Discretionary RAUM · $91.5M to $67.5M
        Feb 23, 2015 to Mar 14, 2016
      • RAUM · $91.5M to $67.5M
        Feb 23, 2015 to Mar 14, 2016
      • Accounts · 33 to 30
        Mar 18, 2014 to Feb 23, 2015
      • State-registered IARs · 0 to 2
        Mar 18, 2014 to Feb 23, 2015
      • Discretionary RAUM · $94.5M to $91.5M
        Mar 18, 2014 to Feb 23, 2015
      • RAUM · $94.5M to $91.5M
        Mar 18, 2014 to Feb 23, 2015
      • Accounts · 35 to 33
        Feb 14, 2013 to Mar 18, 2014
      • Discretionary RAUM · $90.1M to $94.5M
        Feb 14, 2013 to Mar 18, 2014
      • RAUM · $90.1M to $94.5M
        Feb 14, 2013 to Mar 18, 2014
      • Accounts · 36 to 35
        Mar 13, 2012 to Feb 14, 2013
      • Advisory employees · unset to 2.0
        Mar 13, 2012 to Feb 14, 2013
      • Employees · unset to 2.0
        Mar 13, 2012 to Feb 14, 2013
      • Discretionary RAUM · $92.0M to $90.1M
        Mar 13, 2012 to Feb 14, 2013
      • RAUM · $92.0M to $90.1M
        Mar 13, 2012 to Feb 14, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      $33.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026