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Former SEC-registered adviser

C•••••• H•••• M••••••••• ••••

Former SEC-registered adviserBeverly, MassachusettsCRD 139079SEC 801-66106IAPD
Legal name C•••••• H•••• M••••••••• L••
Latest filing Mar 25, 2015
First filing on the tape Mar 14, 2012 · 4 filings
RAUM
$2.5B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$2.5B as of Mar 25, 2015
Mar 14, 2012$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2015
Mar 14, 20120 then
Employees (5.A)20 as of Mar 25, 2015
Mar 27, 201320 then
Private funds: no history
RAUM -71% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2015; 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
$145MderivedRAUM 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
-71%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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
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
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
      • C•••••••• C•••• L•••• · Presidentcontrol
        since 10/2000 · owns less than 5%
      • W•••••• K••••••• D•••• · Chief Executive Officercontrol
        since 10/2000 · owns less than 5%
      • C•••••••• C•••• L•••• · Membercontrol
        since 12/2000 · owns 25% to 50% of H•••• I••••••••• A•••••••• L••
      • W•••••• K••••••• D•••• · Membercontrol
        since 12/2000 · owns 50% to 75% of H•••• I••••••••• A•••••••• L••
      Entity owners
      • H•••• I••••••••• A•••••••• L•• · Manager
        direct · 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 · 22 to 17
        Mar 26, 2014 to Mar 25, 2015
      • Assets in custody · $557,000 to $0
        Mar 26, 2014 to Mar 25, 2015
      • Discretionary RAUM · $2.9B to $0
        Mar 26, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $5.6B to $2.5B
        Mar 26, 2014 to Mar 25, 2015
      • RAUM · $8.5B to $2.5B
        Mar 26, 2014 to Mar 25, 2015
      • Accounts · 16 to 22
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $2.3B to $2.9B
        Mar 27, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $4.6B to $5.6B
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $7.0B to $8.5B
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · unset to 4.0
        Mar 14, 2012 to Mar 27, 2013
      • Assets in custody · $550,000 to $557,000
        Mar 14, 2012 to Mar 27, 2013
      • Employees · unset to 20.0
        Mar 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $2.6B to $2.3B
        Mar 14, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $4.7B to $4.6B
        Mar 14, 2012 to Mar 27, 2013
      • RAUM · $7.3B to $7.0B
        Mar 14, 2012 to Mar 27, 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