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Former SEC-registered adviser

A•••• P••••••• L•••

Former SEC-registered adviserHamilton, CRD 137086SEC 801-64703IAPD
Latest filing Mar 20, 2019
First filing on the tape Jan 9, 2012 · 10 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
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 20, 2019
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Jan 30, 20120 then
Employees (5.A)3 as of Mar 20, 2019
Mar 22, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2019; 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • J•••• D•••••••• J••••• G••••• · Chief Compliance Officercontrol
        since 08/2005 · owns less than 5%
      • N••••• R•••• · Ceocontrol
        since 03/2005 · owns less than 5%
      • N••••• R•••• · Shareholdercontrol
        since 08/2004 · owns 50% to 75% of A•••• H••••••• L•••
      Entity owners
      • A•••• H••••••• L••• · Shareholder
        direct · owns 75% or more
      • J••• S•••••••• I••••••••• I• C••••••••• · Shareholder
        direct · owns 10% to 25%
      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
      • Advisory employees · 4 to 3
        Mar 20, 2017 to Mar 21, 2018
      • Charity clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Corporate clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • HNW clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Individual clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Pension plan clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Employees · 4 to 3
        Mar 20, 2017 to Mar 21, 2018
      • Other offices · unset to 2.0
        Mar 20, 2017 to Mar 21, 2018
      • HNW RAUM · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Individual RAUM · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Pension RAUM · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 20, 2017 to Mar 21, 2018
      • Advisory employees · 5 to 4
        Mar 17, 2016 to Mar 20, 2017
      • Employees · 5 to 4
        Mar 17, 2016 to Mar 20, 2017
      • Advisory employees · 7 to 5
        Mar 22, 2013 to Mar 13, 2014
      • Employees · 7 to 5
        Mar 22, 2013 to Mar 13, 2014
      • Advisory employees · unset to 7.0
        Jan 30, 2012 to Mar 22, 2013
      • Employees · unset to 7.0
        Jan 30, 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