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Former SEC-registered adviser

H••••• A•••• M••••••••• L••

Former SEC-registered adviserAuburn, CaliforniaCRD 106121SEC 801-37476IAPD
Latest filing Jan 4, 2022
First filing on the tape Feb 2, 2012 · 29 filings
RAUM
$28.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$20.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$28.3M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$28.3M as of May 21, 2021
Feb 2, 2012$473M then
HNW client RAUM$11.2M as of May 21, 2021
Mar 30, 2018$27.9M then
State-registered IARs (5.B.3)1 as of May 21, 2021
Mar 6, 20132 then
Employees (5.A)2 as of May 21, 2021
Mar 6, 20135 then
Private funds: no history
RAUM -86% over the last fiscal year-49% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jan 4, 2022; every figure names its basis
RAUM per advisor
$28.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$448,354derivedHNW RAUM over HNW clients
Average account
$435,449derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-86%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$11.2M40%
  • Individuals$8.8M31%
  • Pension and profit-sharing plans$7.7M27%
  • Corporations and businesses$543,8151.9%
Individual clients
38reported
HNW clients
25reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
0reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• A•••• H•••••Auburn, CaJun 27, 201227 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••••• A•••• · Ceo/Cco/Portfolio Manager /Trader/Managing Membercontrol
        since 01/2018 · owns 25% to 50%
      • Q••••••• C••••••• A•• · Equities Analyst, Membercontrol
        since 12/2004 · owns 25% to 50%
      • H•••••• K••••• A•• · Clerical, Member
        since 07/2000 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Jan 3, 2022 to Jan 3, 2022
      • State-registered IARs · 2 to 1
        Jun 29, 2020 to Mar 30, 2021
      • Accounts · 70 to 65
        Jun 29, 2020 to Mar 30, 2021
      • Advisory employees · 4 to 2
        Jun 29, 2020 to Mar 30, 2021
      • Advisory activities · 3 to 2
        Jun 29, 2020 to Mar 30, 2021
      • Corporate clients · unset to 1.0
        Jun 29, 2020 to Mar 30, 2021
      • HNW clients · 30 to 25
        Jun 29, 2020 to Mar 30, 2021
      • Individual clients · 35 to 38
        Jun 29, 2020 to Mar 30, 2021
      • Pension plan clients · 4 to 1
        Jun 29, 2020 to Mar 30, 2021
      • Employees · 4 to 2
        Jun 29, 2020 to Mar 30, 2021
      • Discretionary RAUM · $207M to $28.3M
        Jun 29, 2020 to Mar 30, 2021
      • HNW RAUM · $29.6M to $11.2M
        Jun 29, 2020 to Mar 30, 2021
      • Individual RAUM · $8.2M to $8.8M
        Jun 29, 2020 to Mar 30, 2021
      • Pension RAUM · $11.1M to $7.7M
        Jun 29, 2020 to Mar 30, 2021
      • RAUM · $207M to $28.3M
        Jun 29, 2020 to Mar 30, 2021
      • Accounts · 79 to 70
        Aug 1, 2019 to Mar 25, 2020
      • Advisory employees · 5 to 4
        Aug 1, 2019 to Mar 25, 2020
      • HNW clients · 16 to 30
        Aug 1, 2019 to Mar 25, 2020
      • Individual clients · 31 to 35
        Aug 1, 2019 to Mar 25, 2020
      • Employees · 5 to 4
        Aug 1, 2019 to Mar 25, 2020
      • Discretionary RAUM · $202M to $207M
        Aug 1, 2019 to Mar 25, 2020
      • HNW RAUM · $23.9M to $29.6M
        Aug 1, 2019 to Mar 25, 2020
      • Individual RAUM · $10.0M to $8.2M
        Aug 1, 2019 to Mar 25, 2020
      • Pension RAUM · $12.6M to $11.1M
        Aug 1, 2019 to Mar 25, 2020
      • RAUM · $202M to $207M
        Aug 1, 2019 to Mar 25, 2020
      • Accounts · 85 to 79
        Jun 12, 2018 to Mar 29, 2019
      • HNW clients · 17 to 16
        Jun 12, 2018 to Mar 29, 2019
      • Individual clients · 36 to 31
        Jun 12, 2018 to Mar 29, 2019
      • Discretionary RAUM · $218M to $202M
        Jun 12, 2018 to Mar 29, 2019
      • HNW RAUM · $27.9M to $23.9M
        Jun 12, 2018 to Mar 29, 2019
      • Individual RAUM · $11.8M to $10.0M
        Jun 12, 2018 to Mar 29, 2019
      • Pension RAUM · $14.1M to $12.6M
        Jun 12, 2018 to Mar 29, 2019
      • RAUM · $218M to $202M
        Jun 12, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 5
        Mar 30, 2018 to Jun 12, 2018
      • Employees · 6 to 5
        Mar 30, 2018 to Jun 12, 2018
      • State-registered IARs · 3 to 2
        Mar 30, 2018 to Jun 12, 2018
      • Accounts · 87 to 85
        Mar 31, 2017 to Mar 30, 2018
      • Business name · H••••• A•••• M••••••••• L•• to H••••• A•••• M••••••••• L••
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 17.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 36.0
        Mar 31, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • H••••• A•••• M••••••••• L•• reported RAUM $28.3M, down 86% from $206.6M (2020-06-29 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • Lynn Laura Freeman (Chief Compliance Officer, Member) no longer on Schedule A of H••••• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-08-01)
        Aug 1, 2019 · Control person left · inference
      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
      $28.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026