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H•••••••• C•••••• C•••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $472M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$472M
Form ADV
RAUM change, last fiscal year
+17%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 31 Mar 2014, RAUM $402M to $472M (+17.3%) on the Form ADV filed 31 Mar 2014.

Every filed figure, and the identifiersCRD 106541 · SEC 801-30025 · 4 filingsShow
CRD 106541SEC 801-30025Legal name H•••••••• C•••••• C••• G••••• B••••• H•••••••• E• C•• L••••••First filing on the tape Mar 29, 2012, latest Mar 31, 2014IAPD
RAUM
$472M
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
Not computed
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$472M as of Mar 31, 2014
Mar 29, 2012$375M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 29, 20120 then
Employees (5.A)6 as of Mar 31, 2014
Mar 27, 20136 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$472MderivedRAUM 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
+17%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 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
1reported
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•• D•• M•••• J•••• · Directorcontrol
        since 03/2012 · owns less than 5%
      • C••••• P•••••••• R••••• · Senior Vice President & Treasurercontrol
        since 12/1997 · owns less than 5%
      • D••••••••• A•••••••• · Vice Chairman Of The Board, Director & Secretarycontrol
        since 05/1997 · owns less than 5%
      • H••••••••• F••••••• · Director And Chairman Of The Boardcontrol
        since 02/1994 · owns less than 5%
      • H••••••••• P••• · Director And Vice Chairmancontrol
        since 02/1994 · owns less than 5%
      • M••••••••• R••••• · Chief Executive Officer, President, Chief Operating Officer & Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • P••••• V••••••••• D•••••• M•••• A••••• · Directorcontrol
        since 06/2012 · owns less than 5%
      • H••••••••• F••••••• · Shareholdercontrol
        since 01/2005 · owns 25% to 50% of B••••• H•••••••• E• C•• •••••••
      Entity owners
      • B••••• H•••••••• E• C•• ••••••• · Stockholder
        direct · owns 25% to 50%
      • H•••••••• U•••• I••• · Stockholder
        direct · owns 25% to 50%
      • B••••• H•••••••• E• C•• · Shareholder
        indirect · owns 75% or more of H•••••••• U••. Inc.
      • D••••••••• A• · Shareholder
        indirect · owns 25% to 50% of B••••• H•••••••• E• C••
      Related persons
      Schedule D 7.A
      Advisers that list H•••••••• C•••••• C••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $402M to $472M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $402M to $472M
        Mar 27, 2013 to Mar 31, 2014
      • Legal name · H•••••••• C•••••• C••• to H•••••••• C•••••• C••• G••••• B••••• H•••••••• E• C•• L••••••
        Dec 18, 2012 to Mar 27, 2013
      • Discretionary RAUM · $383M to $402M
        Dec 18, 2012 to Mar 27, 2013
      • RAUM · $383M to $402M
        Dec 18, 2012 to Mar 27, 2013
      Full history · 9 changes
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Dec 18, 2012
      • Employees · unset to 6.0
        Mar 29, 2012 to Dec 18, 2012
      • Discretionary RAUM · $375M to $383M
        Mar 29, 2012 to Dec 18, 2012
      • RAUM · $375M to $383M
        Mar 29, 2012 to Dec 18, 2012
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026