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H••••• P••••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser.

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

As of 2019-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: Not applicable
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: Not applicable
Private clients: Not established

Advisors Advisor movement Where the RAUM sits

As of 2019-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 12 Form ADV filings for this adviser, the latest 7.6 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 150263 · SEC 801-70190 · 12 filingsShow

CRD 150263SEC 801-70190Legal name H••••• P•••• L••First filing on the tape Mar 6, 2012, latest Mar 12, 2019IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM$0 as of Mar 12, 2019

Feb 22, 2018$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 12, 2019

Mar 6, 20120 then

Employees (5.A)2 as of Mar 12, 2019

Feb 22, 20134 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 12, 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: unknownderived1 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: fixed feesreportedItem 5.E
Advisory activities: pension consultingreportedItem 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: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••••• M••••••• W••••• · Chief Executive Officer, Managercontrol
since 04/2009 · owns 75% or more
P•••••• E••••• B••• · Chief Compliance Officer
since 10/2010 · owns less than 5%

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 · 3 to 2
Feb 22, 2018 to Mar 12, 2019
Employees · 3 to 2
Feb 22, 2018 to Mar 12, 2019
Accounts · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Charity clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Corporate clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
HNW clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Individual clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Pension plan clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Pooled vehicle clients · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Employees · 4 to 3
Feb 9, 2017 to Feb 22, 2018
HQ city · NEW YORK to unset
Feb 9, 2017 to Feb 22, 2018
HQ state · NY to unset
Feb 9, 2017 to Feb 22, 2018
Other offices · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Discretionary RAUM · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Non-discretionary RAUM · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
RAUM · unset to 0.0
Feb 9, 2017 to Feb 22, 2018
Advisory employees · 2 to 3
Mar 6, 2014 to Mar 23, 2015
Employees · 3 to 4
Mar 6, 2014 to Mar 23, 2015
Employees · 4 to 3
Jul 15, 2013 to Mar 6, 2014
Advisory employees · unset to 2.0
Mar 6, 2012 to Feb 22, 2013
Employees · unset to 4.0
Mar 6, 2012 to Feb 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