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Former SEC-registered adviser

H••••••••• I•••••••••

Former SEC-registered adviserCRD 148918SEC 801-69813IAPD
Legal name H••••••••• I••••••••• C•••••• L••
Latest filing Dec 12, 2014
First filing on the tape Apr 18, 2012 · 8 filings
RAUM
$67.3M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$152M as of Mar 31, 2014
Apr 18, 2012$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 18, 20120 then
Employees (5.A)1 as of Mar 31, 2014
Feb 27, 20131 then
Private funds: no history
RAUM -45% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 12, 2014; 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
$2.9MderivedRAUM 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
+24%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 individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 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
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      • H••••••••• G•••• E• · Chief Compliance Officercontrol
        since 11/2008 · 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 · 37 to 23
        Mar 31, 2014 to Jun 23, 2014
      • Non-discretionary RAUM · $152M to $67.3M
        Mar 31, 2014 to Jun 23, 2014
      • RAUM · $152M to $67.3M
        Mar 31, 2014 to Jun 23, 2014
      • Accounts · 34 to 37
        Feb 27, 2013 to Mar 31, 2014
      • Advisory activities · 4 to 6
        Feb 27, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $123M to $152M
        Feb 27, 2013 to Mar 31, 2014
      • RAUM · $123M to $152M
        Feb 27, 2013 to Mar 31, 2014
      • Accounts · 22 to 34
        Apr 18, 2012 to Feb 27, 2013
      • Advisory employees · unset to 1.0
        Apr 18, 2012 to Feb 27, 2013
      • Advisory activities · 5 to 4
        Apr 18, 2012 to Feb 27, 2013
      • Employees · unset to 1.0
        Apr 18, 2012 to Feb 27, 2013
      • Non-discretionary RAUM · $109M to $123M
        Apr 18, 2012 to Feb 27, 2013
      • RAUM · $109M to $123M
        Apr 18, 2012 to Feb 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