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Former SEC-registered adviser

H••••• C•••••• A•••••••• I•••

Former SEC-registered adviserWest Hartford, ConnecticutCRD 136335SEC 801-64521IAPD
Latest filing Mar 2, 2018
First filing on the tape Mar 21, 2012 · 8 filings
RAUM
n/a
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$575,782 as of Mar 6, 2017
Mar 21, 2012$589,947 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2018
Mar 21, 20120 then
Employees (5.A)2 as of Mar 2, 2018
Mar 22, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2018; 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
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
26reported
Charitable clients
1reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • B••••• T••••••• C••••••• · President, Cio, Ccocontrol
        since 08/2016 · 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 · 4.0 to unset
        Mar 6, 2017 to Mar 2, 2018
      • Advisory activities · 4 to 1
        Mar 6, 2017 to Mar 2, 2018
      • Charity clients · unset to 1.0
        Mar 6, 2017 to Mar 2, 2018
      • Pension plan clients · unset to 26.0
        Mar 6, 2017 to Mar 2, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 2, 2018
      • Discretionary RAUM · 575782.0 to unset
        Mar 6, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Mar 6, 2017 to Mar 2, 2018
      • RAUM · 575782.0 to unset
        Mar 6, 2017 to Mar 2, 2018
      • Accounts · 12 to 4
        Aug 5, 2016 to Mar 6, 2017
      • Employees · 1 to 2
        Aug 5, 2016 to Mar 6, 2017
      • Discretionary RAUM · $1.0M to $575,782
        Aug 5, 2016 to Mar 6, 2017
      • RAUM · $1.0M to $575,782
        Aug 5, 2016 to Mar 6, 2017
      • Advisory employees · 2 to 1
        Mar 15, 2016 to Aug 5, 2016
      • Employees · 2 to 1
        Mar 15, 2016 to Aug 5, 2016
      • State-registered IARs · 2 to 1
        Mar 15, 2016 to Aug 5, 2016
      • Advisory activities · 5 to 4
        Mar 20, 2015 to Mar 15, 2016
      • Discretionary RAUM · $1.0M to $1.0M
        Mar 20, 2015 to Mar 15, 2016
      • RAUM · $1.0M to $1.0M
        Mar 20, 2015 to Mar 15, 2016
      • Discretionary RAUM · $929,660 to $1.0M
        Mar 21, 2014 to Mar 20, 2015
      • RAUM · $929,660 to $1.0M
        Mar 21, 2014 to Mar 20, 2015
      • Accounts · 6 to 12
        Mar 22, 2013 to Mar 21, 2014
      • Discretionary RAUM · $700,360 to $929,660
        Mar 22, 2013 to Mar 21, 2014
      • RAUM · $700,360 to $929,660
        Mar 22, 2013 to Mar 21, 2014
      • Advisory employees · unset to 2.0
        Mar 21, 2012 to Mar 22, 2013
      • Employees · unset to 2.0
        Mar 21, 2012 to Mar 22, 2013
      • State-registered IARs · 0 to 2
        Mar 21, 2012 to Mar 22, 2013
      • Discretionary RAUM · $589,947 to $700,360
        Mar 21, 2012 to Mar 22, 2013
      • RAUM · $589,947 to $700,360
        Mar 21, 2012 to Mar 22, 2013
      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