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H•••••• F•••••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $46.7M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$46.7M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+13%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $46.7M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 8.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 138285 · SEC 801-73154 · 10 filingsShow
CRD 138285SEC 801-73154First filing on the tape Feb 3, 2012, latest Jan 25, 2018IAPD
RAUM
$46.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$46.7M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$46.7M as of Jan 25, 2018
Jan 8, 2013$36.5M then
HNW client RAUM: $45.4M
State-registered IARs (5.B.3)0 as of Jan 25, 2018
Jan 8, 20130 then
Employees (5.A)1 as of Jan 25, 2018
Jan 8, 20131 then
Private funds: no history
RAUM +13% over the last fiscal year+2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 25, 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
$2.7MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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, hourlyreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$45.4M97%
  • Individuals$1.3M2.8%
Individual clients
n/areported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      • H•••••••• J•••••• S••••• · Chief Compliance Officercontrol
        since 12/2005 · 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 · 40 to 41
        Jan 13, 2017 to Jan 25, 2018
      • HNW clients · unset to 17.0
        Jan 13, 2017 to Jan 25, 2018
      • Other offices · unset to 1.0
        Jan 13, 2017 to Jan 25, 2018
      • Discretionary RAUM · $41.2M to $46.7M
        Jan 13, 2017 to Jan 25, 2018
      • HNW RAUM · unset to 45362400.0
        Jan 13, 2017 to Jan 25, 2018
      • Individual RAUM · unset to 1290600.0
        Jan 13, 2017 to Jan 25, 2018
      • RAUM · $41.2M to $46.7M
        Jan 13, 2017 to Jan 25, 2018
      • Accounts · 42 to 40
        Jan 18, 2016 to Jan 13, 2017
      • Discretionary RAUM · $40.5M to $41.2M
        Jan 18, 2016 to Jan 13, 2017
      • RAUM · $40.5M to $41.2M
        Jan 18, 2016 to Jan 13, 2017
      • Accounts · 57 to 42
        Feb 3, 2015 to Jan 18, 2016
      • Discretionary RAUM · $43.5M to $40.5M
        Feb 3, 2015 to Jan 18, 2016
      • RAUM · $43.5M to $40.5M
        Feb 3, 2015 to Jan 18, 2016
      • Accounts · 21 to 57
        Jan 13, 2015 to Feb 3, 2015
      • Accounts · 61 to 21
        Jan 22, 2014 to Jan 13, 2015
      • Advisory activities · 3 to 2
        Jan 22, 2014 to Jan 13, 2015
      • Financial planning clients · 1-10 to 11-25
        Jan 22, 2014 to Jan 13, 2015
      • Discretionary RAUM · $40.3M to $43.5M
        Jan 22, 2014 to Jan 13, 2015
      • RAUM · $40.3M to $43.5M
        Jan 22, 2014 to Jan 13, 2015
      • Accounts · 60 to 61
        Jan 8, 2013 to Jan 22, 2014
      • Financial planning clients · 11-25 to 1-10
        Jan 8, 2013 to Jan 22, 2014
      • Discretionary RAUM · $36.5M to $40.3M
        Jan 8, 2013 to Jan 22, 2014
      • RAUM · $36.5M to $40.3M
        Jan 8, 2013 to Jan 22, 2014
      • Accounts · 48 to 60
        Jun 11, 2012 to Jan 8, 2013
      • Advisory employees · unset to 1.0
        Jun 11, 2012 to Jan 8, 2013
      • Advisory activities · 2 to 3
        Jun 11, 2012 to Jan 8, 2013
      • Employees · unset to 1.0
        Jun 11, 2012 to Jan 8, 2013
      • Discretionary RAUM · $30.1M to $36.5M
        Jun 11, 2012 to Jan 8, 2013
      • RAUM · $30.1M to $36.5M
        Jun 11, 2012 to Jan 8, 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