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H•••• A•••• A••••••• L••••••

Former SEC-registered adviserFormer SEC adviser· Central Hong Kong

Former SEC-registered adviser, based in Central Hong Kong.

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

RAUM change, last fiscal year
-100%
Form ADV, consecutive annual filings
AdvisorsAdvisor movementWhere 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: 7 Mar 2016, RAUM $235M to $0 (-100.0%) on the Form ADV filed 7 Mar 2016.

Every filed figure, and the identifiersCRD 108493 · SEC 801-55066 · 16 filingsShow
CRD 108493SEC 801-55066First filing on the tape Nov 10, 2011, latest Mar 7, 2016IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Mar 7, 2016
Mar 28, 2012$511M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2016
Mar 5, 20130 then
Employees (5.A)8 as of Mar 7, 2016
Mar 5, 20138 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%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)
  • compensates persons for client referrals (8.G.1)
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
0reported
Financial planning clients
0reported
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
      • S••••• H•••• A••• · Chief Executive/ Directorcontrol
        since 12/1990 · owns less than 5%
      • C•••• K• H••• · Shareholder
        since 08/2012 · owns 10% to 25%
      • W•••• E••••• · Chief Compliance Officer/Chief Financial Officer/Chief Operating Officer
        since 08/2007 · owns less than 5%
      Entity owners
      • H•••• I••••••••• M••••••••• H••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • H•••• I••••••••• H••••••• L•• · Shareholder
        indirect · owns 25% to 50% of T•• H•••• I••••••••• G•••• P•• L••••••
      • S•••• A••••••••• L•• · Shareholder
        indirect · owns 50% to 75% of T•• H•••• I••••••••• G•••• P•• L••••••
      • T•• H•••• I••••••••• G•••• P•• L•••••• · Shareholder
        indirect · owns 75% or more of H•••• I••••••••• M••••••••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      • B••••••••• A•••• M••••••••• L••••••
        investment advisernRAUM $165M
      • C••••••••• C•••••• M••••••••• ••••••••• L••••••
        investment advisern
      • C••••••••• C•••••• M••••••••• L••••••
        investment advisern
      • D•••• C•••••• C•••••••••
        investment advisern
      • H•••• A•••• M••••••••• ••••••• L••••••
        investment advisern
      • H•••• A•••• M••••••••• L••••••
        investment advisery
      • H•••• I••••••••• M••••••••• ••••••• L••••••
        investment advisern
      • H•••• I••••••••• M••••••••• L••••••
        investment advisern
      • H•••• I•••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        Aug 20, 2015 to Mar 7, 2016
      • Employees · 7 to 8
        Aug 20, 2015 to Mar 7, 2016
      • Discretionary RAUM · $235M to $0
        Aug 20, 2015 to Mar 7, 2016
      • RAUM · $235M to $0
        Aug 20, 2015 to Mar 7, 2016
      • Advisory employees · 5 to 4
        Mar 27, 2015 to Aug 20, 2015
      Full history · 22 changes
      • Accounts · 3 to 1
        Mar 25, 2015 to Mar 27, 2015
      • Employees · 9 to 7
        Mar 25, 2015 to Mar 27, 2015
      • Discretionary RAUM · $388M to $235M
        Mar 25, 2015 to Mar 27, 2015
      • RAUM · $388M to $235M
        Mar 25, 2015 to Mar 27, 2015
      • Advisory employees · 4 to 5
        Sep 25, 2013 to Mar 27, 2014
      • Employees · 8 to 9
        Sep 25, 2013 to Mar 27, 2014
      • Discretionary RAUM · $440M to $388M
        Sep 25, 2013 to Mar 27, 2014
      • RAUM · $440M to $388M
        Sep 25, 2013 to Mar 27, 2014
      • Advisory employees · unset to 4.0
        Aug 6, 2012 to Mar 5, 2013
      • Employees · unset to 8.0
        Aug 6, 2012 to Mar 5, 2013
      • State-registered IARs · unset to 0.0
        Aug 6, 2012 to Mar 5, 2013
      • Discretionary RAUM · $511M to $440M
        Aug 6, 2012 to Mar 5, 2013
      • RAUM · $511M to $440M
        Aug 6, 2012 to Mar 5, 2013
      • Discretionary RAUM · $625M to $511M
        Nov 15, 2011 to Mar 28, 2012
      • RAUM · $625M to $511M
        Nov 15, 2011 to Mar 28, 2012
      • Business name · H•••• U••• I••••••••• A••••••• L•••••• to H•••• A•••• A••••••• L••••••
        Nov 10, 2011 to Nov 15, 2011
      • Legal name · H•••• U••• I••••••••• A••••••• L•••••• to H•••• A•••• A••••••• L••••••
        Nov 10, 2011 to Nov 15, 2011
      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

      Not yet on record: private clients.