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H•••••••• A•••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· Plano, Texas

Former SEC-registered adviser, based in Plano, Texas, reporting $41.4M of regulatory assets.

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

Last reported RAUM
$41.4M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-95%
Form ADV, consecutive annual filings
Private clients
49% of RAUM, $20.4M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 145078 · SEC 801-79552 · 16 filingsShow
CRD 145078SEC 801-79552Legal name H•••••••• A•••• M••••••••• L••First filing on the tape Mar 30, 2012, latest Apr 6, 2022IAPD
RAUM
$41.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$20.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$41.4M as of Mar 31, 2022
Mar 30, 2012$22.1M then
HNW client RAUM$834,680 as of Mar 31, 2022
Mar 30, 2018$603,601 then
State-registered IARs (5.B.3)1 as of Mar 31, 2022
Apr 2, 20151 then
Employees (5.A)10 as of Mar 31, 2022
Apr 2, 20158 then
Private funds: no history
RAUM -95% over the last fiscal year-55% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 6, 2022; every figure names its basis
RAUM per advisor
$41.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$208,670derivedHNW RAUM over HNW clients
Average account
$739,914derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-95%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$19.6M47%
  • Pension and profit-sharing plans$16.9M41%
  • Charitable organizations$3.4M8.1%
  • High-net-worth individuals$834,6802.0%
  • Corporations and businesses$716,1081.7%
Individual clients
45reported
HNW clients
4reported
Pension plan clients
1reported
Charitable clients
4reported
Accounts
56reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $23.4M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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••••• B•••• · Chief Executive Officercontrol
        since 07/2007 · owns 25% to 50%
      • S••••• D••••••• E••• · Managing Directorcontrol
        since 01/2008 · owns 5% to 10%
      • T••••• D••••••• A•• · Chief Compliance Officercontrol
        since 07/2007 · owns less than 5%
      • T••••••• B••••••• L•••• · Managing Director
        since 07/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Hingham, MA
      What changed
      consecutive filings, newest first
      • Accounts · 66 to 56
        Apr 1, 2021 to Mar 31, 2022
      • Advisory activities · 4 to 2
        Apr 1, 2021 to Mar 31, 2022
      • Charity clients · 6 to 4
        Apr 1, 2021 to Mar 31, 2022
      • Individual clients · 50 to 45
        Apr 1, 2021 to Mar 31, 2022
      • Pension plan clients · 2 to 1
        Apr 1, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 1.0 to unset
        Apr 1, 2021 to Mar 31, 2022
      • Discretionary RAUM · $765M to $41.4M
        Apr 1, 2021 to Mar 31, 2022
      • HNW RAUM · $621,594 to $834,680
        Apr 1, 2021 to Mar 31, 2022
      • Individual RAUM · $16.1M to $19.6M
        Apr 1, 2021 to Mar 31, 2022
      • Pension RAUM · $16.9M to $16.9M
        Apr 1, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · 27539131.0 to unset
        Apr 1, 2021 to Mar 31, 2022
      • RAUM · $765M to $41.4M
        Apr 1, 2021 to Mar 31, 2022
      • Wrap assets (manager) · $33.7M to $23.4M
        Apr 1, 2021 to Mar 31, 2022
      • Accounts · 96 to 66
        Jun 29, 2020 to Apr 1, 2021
      • Corporate clients · 4 to 2
        Jun 29, 2020 to Apr 1, 2021
      • HNW clients · 2 to 4
        Jun 29, 2020 to Apr 1, 2021
      • Individual clients · 80 to 50
        Jun 29, 2020 to Apr 1, 2021
      • Discretionary RAUM · $702M to $765M
        Jun 29, 2020 to Apr 1, 2021
      • HNW RAUM · $497,598 to $621,594
        Jun 29, 2020 to Apr 1, 2021
      • Individual RAUM · $29.6M to $16.1M
        Jun 29, 2020 to Apr 1, 2021
      • Pension RAUM · $15.7M to $16.9M
        Jun 29, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $30.2M to $27.5M
        Jun 29, 2020 to Apr 1, 2021
      • RAUM · $702M to $765M
        Jun 29, 2020 to Apr 1, 2021
      • Wrap assets (manager) · $47.3M to $33.7M
        Jun 29, 2020 to Apr 1, 2021
      • Accounts · 144 to 96
        Mar 31, 2019 to Mar 29, 2020
      • Charity clients · 8 to 6
        Mar 31, 2019 to Mar 29, 2020
      • Individual clients · 124 to 80
        Mar 31, 2019 to Mar 29, 2020
      • Pension plan clients · 4 to 2
        Mar 31, 2019 to Mar 29, 2020
      • Discretionary RAUM · $467M to $702M
        Mar 31, 2019 to Mar 29, 2020
      • HNW RAUM · $403,802 to $497,598
        Mar 31, 2019 to Mar 29, 2020
      • Individual RAUM · $35.4M to $29.6M
        Mar 31, 2019 to Mar 29, 2020
      • Pension RAUM · $44.5M to $15.7M
        Mar 31, 2019 to Mar 29, 2020
      • Pooled vehicle RAUM · $10.1M to $30.2M
        Mar 31, 2019 to Mar 29, 2020
      • RAUM · $467M to $702M
        Mar 31, 2019 to Mar 29, 2020
      • Wrap assets (manager) · $61.1M to $47.3M
        Mar 31, 2019 to Mar 29, 2020
      • Accounts · 176 to 144
        Mar 30, 2018 to Mar 31, 2019
      • Advisory employees · 7 to 5
        Mar 30, 2018 to Mar 31, 2019
      • Charity clients · 12 to 8
        Mar 30, 2018 to Mar 31, 2019
      • Corporate clients · 7 to 4
        Mar 30, 2018 to Mar 31, 2019
      • HNW clients · unset to 2.0
        Mar 30, 2018 to Mar 31, 2019
      Signals
      4 dated events
      • ••• Locked
        Mar 31, 2022 · RAUM change · derived
      • ••• Locked
        Mar 29, 2020 · RAUM change · derived
      • ••• Locked
        Mar 31, 2019 · RAUM change · derived
      • ••• Locked
        Mar 31, 2014 · First SEC registration · fact
      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