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Former SEC-registered adviser

H•••••• C•••••• M••••••••• I•••

Former SEC-registered adviserCRD 110400SEC 801-26038websiteIAPD
Latest filing Jan 22, 2026
First filing on the tape Mar 13, 2012 · 22 filings
SEC status approved since Dec 31, 1985
RAUM
$2.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.6M
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
22 filings and snapshots on the tape
RAUM$2.6M as of Jan 22, 2026
Mar 13, 2012$27.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2026
Mar 13, 20120 then
Employees (5.A)1 as of Jan 22, 2026
Mar 26, 20132 then
Private funds: no history
RAUM -73% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
RAUM per advisor
$2.6MderivedRAUM 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
$74,286derivedRAUM 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
-73%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 individualsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$2.6M100%
Individual clients
35reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• P•••••• L••••Lafayette, La Mar 9, 202635 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • L••••• D•••••• P•••••• · President/Ccocontrol
        since 03/2014 · 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 · 1 to 35
        Sep 23, 2025 to Jan 22, 2026
      • Advisory activities · 2 to 1
        Sep 23, 2025 to Jan 22, 2026
      • Individual clients · unset to 35.0
        Sep 23, 2025 to Jan 22, 2026
      • Organization form · Corporation to Sole Proprietorship
        Sep 23, 2025 to Jan 22, 2026
      • Discretionary RAUM · $9.7M to $2.6M
        Sep 23, 2025 to Jan 22, 2026
      • Individual RAUM · unset to 2600000.0
        Sep 23, 2025 to Jan 22, 2026
      • RAUM · $9.7M to $2.6M
        Sep 23, 2025 to Jan 22, 2026
      • Financial planning clients · 0 to 0
        Jun 25, 2025 to Sep 23, 2025
      • Advisory activities · 1 to 2
        Jan 9, 2025 to Jun 25, 2025
      • HQ city · unset to
        Jan 4, 2024 to Jan 9, 2025
      • HQ state · unset to
        Jan 4, 2024 to Jan 9, 2025
      • Discretionary RAUM · $14.7M to $9.7M
        Jan 4, 2024 to Jan 9, 2025
      • RAUM · $14.7M to $9.7M
        Jan 4, 2024 to Jan 9, 2025
      • Discretionary RAUM · $23.4M to $14.7M
        Jan 4, 2023 to Jan 4, 2024
      • RAUM · $23.4M to $14.7M
        Jan 4, 2023 to Jan 4, 2024
      • Discretionary RAUM · $24.9M to $23.4M
        Jan 4, 2022 to Jan 4, 2023
      • RAUM · $24.9M to $23.4M
        Jan 4, 2022 to Jan 4, 2023
      • Discretionary RAUM · $50.0M to $24.9M
        Jan 15, 2021 to Jan 4, 2022
      • RAUM · $50.0M to $24.9M
        Jan 15, 2021 to Jan 4, 2022
      • Discretionary RAUM · $11.0M to $50.0M
        Jan 3, 2020 to Jan 15, 2021
      • RAUM · $11.0M to $50.0M
        Jan 3, 2020 to Jan 15, 2021
      • Other offices · 1 to 0
        Jan 14, 2019 to Jan 3, 2020
      • Discretionary RAUM · $14.9M to $11.0M
        Jan 14, 2019 to Jan 3, 2020
      • RAUM · $14.9M to $11.0M
        Jan 14, 2019 to Jan 3, 2020
      • Discretionary RAUM · $11.0M to $14.9M
        Feb 8, 2018 to Jan 14, 2019
      • RAUM · $11.0M to $14.9M
        Feb 8, 2018 to Jan 14, 2019
      • Other offices · unset to 1.0
        Jan 23, 2017 to Feb 8, 2018
      • Discretionary RAUM · $16.5M to $11.0M
        Jan 23, 2017 to Feb 8, 2018
      • RAUM · $16.5M to $11.0M
        Jan 23, 2017 to Feb 8, 2018
      • Discretionary RAUM · $20.3M to $16.5M
        Oct 31, 2016 to Jan 23, 2017
      • RAUM · $20.3M to $16.5M
        Oct 31, 2016 to Jan 23, 2017
      • Discretionary RAUM · $18.8M to $20.3M
        Dec 7, 2015 to Jan 29, 2016
      • RAUM · $18.8M to $20.3M
        Dec 7, 2015 to Jan 29, 2016
      • Accounts · 74 to 1
        Nov 5, 2015 to Dec 7, 2015
      • Accounts · 60 to 74
        Jan 7, 2015 to Nov 5, 2015
      • Advisory employees · 0 to 1
        Jan 7, 2015 to Nov 5, 2015
      • Employees · 0 to 1
        Jan 7, 2015 to Nov 5, 2015
      • Discretionary RAUM · $13.0M to $18.8M
        Jan 7, 2015 to Nov 5, 2015
      • RAUM · $13.0M to $18.8M
        Jan 7, 2015 to Nov 5, 2015
      • Accounts · 45 to 60
        Apr 8, 2014 to Jan 2, 2015
      Signals
      1 dated events
      • H•••••• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $2.6M)
        Apr 1, 2026 · Left the SEC roster · derived
      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
      Website
      h•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      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
      $2.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026