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Former SEC-registered adviser

H•••••••• H•••• F••• A••••••• G••••

Former SEC-registered adviserNew York, New YorkCRD 111224SEC 801-54228IAPD
Legal name H•••••••• G•••• L••
Latest filing May 1, 2013
First filing on the tape Mar 23, 2012 · 2 filings
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
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of May 1, 2013
Mar 23, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2013
Mar 23, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 1, 2013; every figure names its basis
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 assets, subscriptionreportedItem 5.E
Advisory activities
otherreportedItem 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)
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
n/areported
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
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
      • G•••••••• C••••••• J••••• · Managing Principal, Chief Compliance Officercontrol
        since 11/2007 · owns 50% to 75%
      • H••••••••• E••••••••• L•• · Managing Principalcontrol
        since 03/1997 · 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 · 21 to 0
        Mar 23, 2012 to May 1, 2013
      • Advisory employees · unset to 2.0
        Mar 23, 2012 to May 1, 2013
      • Advisory activities · 2 to 1
        Mar 23, 2012 to May 1, 2013
      • BD registered reps · unset to 0.0
        Mar 23, 2012 to May 1, 2013
      • Employees · unset to 2.0
        Mar 23, 2012 to May 1, 2013
      • Non-discretionary RAUM · $148M to $0
        Mar 23, 2012 to May 1, 2013
      • RAUM · $148M to $0
        Mar 23, 2012 to May 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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