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Former SEC-registered adviser

H••••••••• A•••• M••••••••• I••

Former SEC-registered adviserDublin, OhioCRD 106937SEC 801-40961IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$207M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$220M as of Mar 31, 2022
Mar 29, 2012$109M then
HNW client RAUM$147M as of Mar 31, 2022
Mar 23, 2018$59.7M then
State-registered IARs (5.B.3)1 as of Mar 31, 2022
Mar 28, 20131 then
Employees (5.A)1 as of Mar 31, 2022
Mar 28, 20131 then
Private funds: no history
RAUM -2.5% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$220MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
458derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$399,344derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$147M67%
  • Individuals$59.7M27%
  • Corporations and businesses$13.2M6.0%
Individual clients
373reported
HNW clients
85reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
551reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• T•••••• K•••• · Presidentcontrol
      since 09/1993 · owns 75% or more
    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
    • Accounts · 654 to 551
      Mar 31, 2021 to Mar 31, 2022
    • Corporate clients · 6.0 to unset
      Mar 31, 2021 to Mar 31, 2022
    • HNW clients · 79 to 85
      Mar 31, 2021 to Mar 31, 2022
    • Individual clients · 410 to 373
      Mar 31, 2021 to Mar 31, 2022
    • Pension plan clients · 3 to 0
      Mar 31, 2021 to Mar 31, 2022
    • Discretionary RAUM · $226M to $220M
      Mar 31, 2021 to Mar 31, 2022
    • HNW RAUM · $126M to $147M
      Mar 31, 2021 to Mar 31, 2022
    • Individual RAUM · $87.9M to $59.7M
      Mar 31, 2021 to Mar 31, 2022
    • Pension RAUM · $2.5M to $0
      Mar 31, 2021 to Mar 31, 2022
    • RAUM · $226M to $220M
      Mar 31, 2021 to Mar 31, 2022
    • Accounts · 1,163 to 654
      Jun 26, 2020 to Mar 31, 2021
    • Corporate clients · 4 to 6
      Jun 26, 2020 to Mar 31, 2021
    • HNW clients · 46 to 79
      Jun 26, 2020 to Mar 31, 2021
    • Individual clients · 397 to 410
      Jun 26, 2020 to Mar 31, 2021
    • Pension plan clients · 7 to 3
      Jun 26, 2020 to Mar 31, 2021
    • Discretionary RAUM · $192M to $226M
      Jun 26, 2020 to Mar 31, 2021
    • HNW RAUM · $94.8M to $126M
      Jun 26, 2020 to Mar 31, 2021
    • Individual RAUM · $77.8M to $87.9M
      Jun 26, 2020 to Mar 31, 2021
    • Pension RAUM · $18.4M to $2.5M
      Jun 26, 2020 to Mar 31, 2021
    • RAUM · $192M to $226M
      Jun 26, 2020 to Mar 31, 2021
    • Accounts · 645 to 1,163
      Oct 8, 2019 to Mar 30, 2020
    • Advisory employees · 4 to 1
      Oct 8, 2019 to Mar 30, 2020
    • BD registered reps · 4 to 1
      Oct 8, 2019 to Mar 30, 2020
    • Corporate clients · 1 to 4
      Oct 8, 2019 to Mar 30, 2020
    • HNW clients · 50 to 46
      Oct 8, 2019 to Mar 30, 2020
    • Individual clients · 400 to 397
      Oct 8, 2019 to Mar 30, 2020
    • Pension plan clients · 3 to 7
      Oct 8, 2019 to Mar 30, 2020
    • Commission compensation · false to true
      Oct 8, 2019 to Mar 30, 2020
    • Employees · 4 to 1
      Oct 8, 2019 to Mar 30, 2020
    • State-registered IARs · 4 to 1
      Oct 8, 2019 to Mar 30, 2020
    • Other offices · 1 to 0
      Oct 8, 2019 to Mar 30, 2020
    • Discretionary RAUM · $153M to $192M
      Oct 8, 2019 to Mar 30, 2020
    • HNW RAUM · $17.0M to $94.8M
      Oct 8, 2019 to Mar 30, 2020
    • Individual RAUM · $135M to $77.8M
      Oct 8, 2019 to Mar 30, 2020
    • Pension RAUM · $1.1M to $18.4M
      Oct 8, 2019 to Mar 30, 2020
    • RAUM · $153M to $192M
      Oct 8, 2019 to Mar 30, 2020
    • Advisory employees · 1 to 4
      Mar 30, 2019 to Oct 1, 2019
    • BD registered reps · 1 to 4
      Mar 30, 2019 to Oct 1, 2019
    • Employees · 1 to 4
      Mar 30, 2019 to Oct 1, 2019
    • State-registered IARs · 1 to 4
      Mar 30, 2019 to Oct 1, 2019
    Signals
    6 dated events
    • M••••••• A• R•••• left H••••••••• A•••• M••••••••• I•• for L•• F•••••••• L•• (registered 2024-11-01)
      Jan 5, 2023 · Advisor changed firm · fact
    • K••• H••••••••• left H••••••••• A•••• M••••••••• I•• for O•••• W•••••• I••• (registered 2021-06-25)
      Jan 5, 2023 · Advisor changed firm · fact
    • A•••••• P••• C••••••• left H••••••••• A•••• M••••••••• I•• for O•••• W•••••• I••• (registered 2021-06-25)
      Jan 5, 2023 · Advisor changed firm · fact
    • T••••• K•••• H••••••••• left H••••••••• A•••• M••••••••• I•• for O•••• W•••••• I••• (registered 2021-06-25)
      Jan 5, 2023 · Advisor changed firm · fact
    • R••••• A••• J••••••••• left H••••••••• A•••• M••••••••• I•• for O•••• W•••••• I••• (registered 2021-06-30)
      Jan 5, 2023 · Advisor changed firm · fact
    • H••••••••• A•••• M••••••••• I••'s advisors moved to O•••• W•••••• I••• (Dublin, OH): 4 of 5 registered, on the same day
      Jan 5, 2023 · Firm absorbed (people side) · derived
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026