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E••••• Y•••• • H•••• I••••••••• M•••••••••

Independent wealth managerSEC-registered· Redwood City, Californiawebsite

Independent wealth manager, based in Redwood City, California, reporting $270M of regulatory assets across 2 registered advisors.

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

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $270M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 86%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 19 Mar 2026, RAUM $239M to $270M (+13.0%) on the Form ADV filed 19 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 110263 · SEC 801-42861 · 32 filingsShow

CRD 110263SEC 801-42861Legal name L•• H• E••••• I•••First filing on the tape Feb 23, 2012, latest Mar 19, 2026SEC status approved since Dec 9, 1992IAPD

RAUM

$270M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

86%

$232M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$135M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM +13% a year over three years · the tape starts Feb 23, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$270M as of Mar 19, 2026

Aug 28, 2012$131M then

HNW client RAUM$134M as of Mar 19, 2026

Sep 14, 2018$40.0M then

State-registered IARs (5.B.3)2 as of Mar 19, 2026

Aug 28, 20120 then

Employees (5.A)3 as of Mar 19, 2026

Aug 15, 20132 then

Private funds: no history

RAUM +13% over the last fiscal year+13% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 19, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control

RAUM per advisor: $135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 118derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $368,752derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -5.2%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 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)
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

50% high-net-worth individuals, 36% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$134M50%
Individuals$97.3M36%
Pension and profit-sharing plans$26.1M9.7%
Charitable organizations$12.1M4.5%

Individual clients: 168reported
HNW clients: 67reported
Pension plan clients: 5reported
Charitable clients: n/areported
Accounts: 732reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 86% private clients, 0% pooled funds, 14% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••• A•••••• P••••	Redwood City, Ca	Sep 23, 2014	30 y	1
D•••• M•••••• H••••	Redwood City, Ca	Nov 13, 2014	29 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••• D••••• M•••••• · President/Chief Compliance Officer
since 01/2021 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Redwood City, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 705 to 732
Mar 27, 2025 to Mar 19, 2026
HNW clients · 60 to 67
Mar 27, 2025 to Mar 19, 2026
Individual clients · 188 to 168
Mar 27, 2025 to Mar 19, 2026
Pension plan clients · unset to 5.0
Mar 27, 2025 to Mar 19, 2026
Financial planning clients · 51-100 to 26-50
Mar 27, 2025 to Mar 19, 2026

Full history · 80 changes

Discretionary RAUM · $239M to $270M
Mar 27, 2025 to Mar 19, 2026
HNW RAUM · $110M to $134M
Mar 27, 2025 to Mar 19, 2026
Individual RAUM · $98.2M to $97.3M
Mar 27, 2025 to Mar 19, 2026
Pension RAUM · $24.6M to $26.1M
Mar 27, 2025 to Mar 19, 2026
RAUM · $239M to $270M
Mar 27, 2025 to Mar 19, 2026
Accounts · 656 to 705
Mar 21, 2024 to Mar 27, 2025
HNW clients · 61 to 60
Mar 21, 2024 to Mar 27, 2025
Individual clients · 209 to 188
Mar 21, 2024 to Mar 27, 2025
Employees · 2 to 3
Mar 21, 2024 to Mar 27, 2025
Financial planning clients · 51-100 to 51-100
Mar 21, 2024 to Mar 27, 2025
Discretionary RAUM · $216M to $239M
Mar 21, 2024 to Mar 27, 2025
HNW RAUM · $114M to $110M
Mar 21, 2024 to Mar 27, 2025
Individual RAUM · $78.6M to $98.2M
Mar 21, 2024 to Mar 27, 2025
Pension RAUM · $23.6M to $24.6M
Mar 21, 2024 to Mar 27, 2025
RAUM · $216M to $239M
Mar 21, 2024 to Mar 27, 2025
Accounts · 615 to 656
Mar 30, 2023 to Mar 21, 2024
HNW clients · 34 to 61
Mar 30, 2023 to Mar 21, 2024
Individual clients · 220 to 209
Mar 30, 2023 to Mar 21, 2024
Discretionary RAUM · $186M to $216M
Mar 30, 2023 to Mar 21, 2024
HNW RAUM · $58.9M to $114M
Mar 30, 2023 to Mar 21, 2024
Individual RAUM · $105M to $78.6M
Mar 30, 2023 to Mar 21, 2024
Pension RAUM · $22.4M to $23.6M
Mar 30, 2023 to Mar 21, 2024
RAUM · $186M to $216M
Mar 30, 2023 to Mar 21, 2024
Accounts · 694 to 615
May 12, 2022 to Mar 30, 2023
HNW clients · 46 to 34
May 12, 2022 to Mar 30, 2023
Individual clients · 226 to 220
May 12, 2022 to Mar 30, 2023
Pension plan clients · 5.0 to unset
May 12, 2022 to Mar 30, 2023
Discretionary RAUM · $222M to $186M
May 12, 2022 to Mar 30, 2023
HNW RAUM · $74.0M to $58.9M
May 12, 2022 to Mar 30, 2023
Individual RAUM · $120M to $105M
May 12, 2022 to Mar 30, 2023
Pension RAUM · $27.5M to $22.4M
May 12, 2022 to Mar 30, 2023
RAUM · $222M to $186M
May 12, 2022 to Mar 30, 2023
Legal name · E•••• LEO H INC to L•• H• E••••• I•••
Apr 1, 2022 to Apr 26, 2022
Accounts · 591 to 694
Feb 2, 2021 to Mar 31, 2022
Advisory activities · 2 to 3
Feb 2, 2021 to Mar 31, 2022
Corporate clients · 1.0 to unset
Feb 2, 2021 to Mar 31, 2022
HNW clients · 32 to 46
Feb 2, 2021 to Mar 31, 2022
Individual clients · 210 to 226
Feb 2, 2021 to Mar 31, 2022
Pension plan clients · 7 to 5
Feb 2, 2021 to Mar 31, 2022
Financial planning clients · 1-10 to 51-100
Feb 2, 2021 to Mar 31, 2022
Other offices · 0 to 1
Feb 2, 2021 to Mar 31, 2022
Discretionary RAUM · $174M to $222M
Feb 2, 2021 to Mar 31, 2022
HNW RAUM · $46.2M to $74.0M
Feb 2, 2021 to Mar 31, 2022
Individual RAUM · $101M to $120M
Feb 2, 2021 to Mar 31, 2022
Non-discretionary RAUM · $52.8M to $0
Feb 2, 2021 to Mar 31, 2022
Pension RAUM · $26.6M to $27.5M
Feb 2, 2021 to Mar 31, 2022
RAUM · $227M to $222M
Feb 2, 2021 to Mar 31, 2022
Related adviser · true to false
Feb 2, 2021 to Mar 31, 2022
Accounts · 729 to 591
Jan 20, 2021 to Feb 2, 2021
HNW clients · 31 to 32
Jan 20, 2021 to Feb 2, 2021
Individual clients · 250 to 210
Jan 20, 2021 to Feb 2, 2021
Financial planning clients · 0 to 1-10
Jan 20, 2021 to Feb 2, 2021
Discretionary RAUM · $182M to $174M
Jan 20, 2021 to Feb 2, 2021
HNW RAUM · unset to 46155489.0
Jan 20, 2021 to Feb 2, 2021
Individual RAUM · $157M to $101M
Jan 20, 2021 to Feb 2, 2021
Non-discretionary RAUM · $48.6M to $52.8M
Jan 20, 2021 to Feb 2, 2021
Pension RAUM · $24.6M to $26.6M
Jan 20, 2021 to Feb 2, 2021
RAUM · $230M to $227M
Jan 20, 2021 to Feb 2, 2021
Accounts · 300 to 729
Jul 1, 2020 to Sep 14, 2020
HNW clients · 34 to 31
Jul 1, 2020 to Sep 14, 2020
Individual clients · 257 to 250
Jul 1, 2020 to Sep 14, 2020
Pension plan clients · 6 to 7
Jul 1, 2020 to Sep 14, 2020
Discretionary RAUM · $157M to $182M
Jul 1, 2020 to Sep 14, 2020
HNW RAUM · 59480964.0 to unset
Jul 1, 2020 to Sep 14, 2020
Individual RAUM · $78.2M to $157M
Jul 1, 2020 to Sep 14, 2020
Non-discretionary RAUM · $58.3M to $48.6M
Jul 1, 2020 to Sep 14, 2020
Pension RAUM · $19.6M to $24.6M
Jul 1, 2020 to Sep 14, 2020
RAUM · $216M to $230M
Jul 1, 2020 to Sep 14, 2020
Other offices · 1 to 0
Sep 26, 2019 to Jun 29, 2020
Accounts · 799 to 300
Sep 14, 2018 to Sep 6, 2019
Corporate clients · unset to 1.0
Sep 14, 2018 to Sep 6, 2019
HNW clients · 21 to 34
Sep 14, 2018 to Sep 6, 2019
Individual clients · 259 to 257
Sep 14, 2018 to Sep 6, 2019
Pension plan clients · 7 to 6
Sep 14, 2018 to Sep 6, 2019
Discretionary RAUM · $161M to $157M
Sep 14, 2018 to Sep 6, 2019

Signals

1 dated events

••• Locked
Jan 4, 2021 · 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.

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $135Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026