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Former SEC-registered adviser

H••••• M•••••

Former SEC-registered adviserCRD 129290SEC 801-70913IAPD
Legal name M•••••• H••••• N•••
Latest filing Mar 29, 2021
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$72.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$72.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
13 filings and snapshots on the tape
RAUM$72.2M as of Mar 29, 2021
Mar 29, 2012$24.8M then
HNW client RAUM$31.7M as of Mar 29, 2021
Mar 28, 2018$20.5M then
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 29, 20120 then
Employees (5.A)1 as of Mar 29, 2021
Mar 26, 20131 then
Private funds: no history
RAUM +23% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2021; 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
$1.4MderivedHNW RAUM over HNW clients
Average account
$515,704derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, 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
+23%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+2.2%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, 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
  • is an insurance broker or agent (6.A.6)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$40.5M56%
  • High-net-worth individuals$31.7M44%
Individual clients
117reported
HNW clients
23reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
140reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, commissionsreported
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
      • M•••••• H•••••• N••• · Chief Compliance Officercontrol
        since 09/1985 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 137 to 140
        Jun 29, 2020 to Mar 29, 2021
      • HNW clients · 17 to 23
        Jun 29, 2020 to Mar 29, 2021
      • Individual clients · 120 to 117
        Jun 29, 2020 to Mar 29, 2021
      • HNW RAUM · $29.0M to $31.7M
        Jun 29, 2020 to Mar 29, 2021
      • Individual RAUM · $29.7M to $40.5M
        Jun 29, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $58.7M to $72.2M
        Jun 29, 2020 to Mar 29, 2021
      • RAUM · $58.7M to $72.2M
        Jun 29, 2020 to Mar 29, 2021
      • Accounts · 135 to 137
        Mar 25, 2019 to Mar 26, 2020
      • Individual clients · 118 to 120
        Mar 25, 2019 to Mar 26, 2020
      • HNW RAUM · $25.1M to $29.0M
        Mar 25, 2019 to Mar 26, 2020
      • Individual RAUM · $26.0M to $29.7M
        Mar 25, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $51.1M to $58.7M
        Mar 25, 2019 to Mar 26, 2020
      • RAUM · $51.1M to $58.7M
        Mar 25, 2019 to Mar 26, 2020
      • Accounts · 125 to 135
        Mar 28, 2018 to Mar 25, 2019
      • HNW clients · 15 to 17
        Mar 28, 2018 to Mar 25, 2019
      • Individual clients · 110 to 118
        Mar 28, 2018 to Mar 25, 2019
      • HNW RAUM · $20.5M to $25.1M
        Mar 28, 2018 to Mar 25, 2019
      • Individual RAUM · $31.4M to $26.0M
        Mar 28, 2018 to Mar 25, 2019
      • Non-discretionary RAUM · $51.9M to $51.1M
        Mar 28, 2018 to Mar 25, 2019
      • RAUM · $51.9M to $51.1M
        Mar 28, 2018 to Mar 25, 2019
      • Accounts · 128 to 125
        Mar 22, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • HNW clients · unset to 15.0
        Mar 22, 2017 to Mar 28, 2018
      • Individual clients · unset to 110.0
        Mar 22, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • Financial planning clients · 51-100 to 101-250
        Mar 22, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 20500000.0
        Mar 22, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 31375000.0
        Mar 22, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $45.2M to $51.9M
        Mar 22, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      • RAUM · $45.2M to $51.9M
        Mar 22, 2017 to Mar 28, 2018
      • Accounts · 116 to 128
        Mar 28, 2016 to Mar 22, 2017
      • Financial planning clients · 101-250 to 51-100
        Mar 28, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $36.3M to $45.2M
        Mar 28, 2016 to Mar 22, 2017
      • RAUM · $36.3M to $45.2M
        Mar 28, 2016 to Mar 22, 2017
      • Accounts · 120 to 116
        Mar 23, 2015 to Mar 28, 2016
      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