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Former SEC-registered adviser

C• G• H••••• C••••••• L••

Former SEC-registered adviserBay Shore, New YorkCRD 109357SEC 801-56496IAPD
Latest filing Mar 15, 2024
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$35.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$35.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
18 filings and snapshots on the tape
RAUM$35.6M as of Mar 15, 2024
Mar 29, 2012$72.1M then
HNW client RAUM$26.3M as of Mar 15, 2024
Mar 23, 2018$13.3M then
State-registered IARs (5.B.3)1 as of Mar 15, 2024
Mar 29, 20120 then
Employees (5.A)2 as of Mar 15, 2024
Mar 28, 20132 then
Private funds: no history
RAUM -6.5% over the last fiscal year-10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
$35.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$387,398derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.3%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
-6.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+43%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$35.6M, 41 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$26.3M74%
  • Individuals$9.2M26%
  • Charitable organizations$117,8400.3%
Individual clients
14reported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
92reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$35.6M for 41 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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•••••• C••••••••• A••••• · Membercontrol
        since 10/2004 · owns 50% to 75%
      • H•••••• C••••••• G••••• · Member And Ccocontrol
        since 10/1998 · owns 50% to 75%
      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 · 128 to 92
        Apr 14, 2023 to Mar 15, 2024
      • Advisory activities · 4 to 3
        Apr 14, 2023 to Mar 15, 2024
      • HNW clients · 10 to 19
        Apr 14, 2023 to Mar 15, 2024
      • Individual clients · 13 to 14
        Apr 14, 2023 to Mar 15, 2024
      • Assets in custody · $40.7M to $35.6M
        Apr 14, 2023 to Mar 15, 2024
      • HNW RAUM · $21.4M to $26.3M
        Apr 14, 2023 to Mar 15, 2024
      • Individual RAUM · $16.8M to $9.2M
        Apr 14, 2023 to Mar 15, 2024
      • Non-discretionary RAUM · $38.1M to $35.6M
        Apr 14, 2023 to Mar 15, 2024
      • RAUM · $38.1M to $35.6M
        Apr 14, 2023 to Mar 15, 2024
      • Accounts · 84 to 128
        Mar 16, 2022 to Mar 27, 2023
      • HNW clients · 16 to 10
        Mar 16, 2022 to Mar 27, 2023
      • Individual clients · 43 to 13
        Mar 16, 2022 to Mar 27, 2023
      • Assets in custody · $2.7M to $40.7M
        Mar 16, 2022 to Mar 27, 2023
      • Financial planning clients · 1-10 to 0
        Mar 16, 2022 to Mar 27, 2023
      • HNW RAUM · $27.3M to $21.4M
        Mar 16, 2022 to Mar 27, 2023
      • Individual RAUM · $9.0M to $16.8M
        Mar 16, 2022 to Mar 27, 2023
      • Non-discretionary RAUM · $40.3M to $38.1M
        Mar 16, 2022 to Mar 27, 2023
      • Pension RAUM · 3666831.0 to unset
        Mar 16, 2022 to Mar 27, 2023
      • RAUM · $40.3M to $38.1M
        Mar 16, 2022 to Mar 27, 2023
      • Accounts · 50 to 84
        Mar 25, 2021 to Mar 16, 2022
      • Advisory employees · 2 to 1
        Mar 25, 2021 to Mar 16, 2022
      • HNW clients · 14 to 16
        Mar 25, 2021 to Mar 16, 2022
      • Individual clients · 50 to 43
        Mar 25, 2021 to Mar 16, 2022
      • Assets in custody · unset to 2652249.0
        Mar 25, 2021 to Mar 16, 2022
      • Custody of client assets · false to true
        Mar 25, 2021 to Mar 16, 2022
      • HNW RAUM · $29.0M to $27.3M
        Mar 25, 2021 to Mar 16, 2022
      • Individual RAUM · $20.0M to $9.0M
        Mar 25, 2021 to Mar 16, 2022
      • Non-discretionary RAUM · $49.5M to $40.3M
        Mar 25, 2021 to Mar 16, 2022
      • Pension RAUM · unset to 3666831.0
        Mar 25, 2021 to Mar 16, 2022
      • RAUM · $49.5M to $40.3M
        Mar 25, 2021 to Mar 16, 2022
      • Accounts · 148 to 50
        Jun 29, 2020 to Mar 25, 2021
      • Individual clients · 68 to 50
        Jun 29, 2020 to Mar 25, 2021
      • State-registered IARs · 0 to 1
        Jun 29, 2020 to Mar 25, 2021
      • Discretionary RAUM · $4.0M to $0
        Jun 29, 2020 to Mar 25, 2021
      • HNW RAUM · $28.9M to $29.0M
        Jun 29, 2020 to Mar 25, 2021
      • Individual RAUM · $25.4M to $20.0M
        Jun 29, 2020 to Mar 25, 2021
      • Non-discretionary RAUM · $51.5M to $49.5M
        Jun 29, 2020 to Mar 25, 2021
      • Pension RAUM · 556241.0 to unset
        Jun 29, 2020 to Mar 25, 2021
      • RAUM · $55.4M to $49.5M
        Jun 29, 2020 to Mar 25, 2021
      • Accounts · 76 to 148
        Mar 26, 2019 to Mar 24, 2020
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026