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Former SEC-registered adviser

H•• C•••••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 150808SEC 801-72892IAPD
Legal name H••••••••• C•••••• M••••••••• L••
Latest filing May 11, 2016
First filing on the tape Nov 11, 2011 · 18 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$35.0M as of Mar 31, 2014
Feb 16, 2012$26.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 2, 2016
Feb 16, 20120 then
Employees (5.A)4 as of May 2, 2016
Feb 6, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 11, 2016; 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
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, publicationsreportedItem 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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, 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••••••••• K•••• P•••••• · Managing Member And Chief Compliance Officercontrol
        since 06/2009 · owns 75% or more
      • H••••••••• K••••• P•••••• · Chief Operating Officer
        since 11/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • San Diego, CA
      What changed
      consecutive filings, newest first
      • Advisory activities · 1 to 2
        Feb 10, 2016 to Mar 22, 2016
      • Employees · 1 to 4
        Feb 10, 2016 to Mar 22, 2016
      • HQ city · unset to SAN DIEGO
        Feb 10, 2016 to Mar 22, 2016
      • HQ state · unset to CA
        Feb 10, 2016 to Mar 22, 2016
      • Related adviser · false to true
        Feb 10, 2016 to Mar 22, 2016
      • Related broker-dealer · false to true
        Feb 10, 2016 to Mar 22, 2016
      • Business name · H••••••••• C•••••• M••••••••• L•• to H•• C•••••••••
        Feb 4, 2016 to Feb 10, 2016
      • Advisory employees · 3 to 1
        Mar 30, 2015 to Feb 4, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Feb 4, 2016
      • Employees · 5 to 1
        Mar 30, 2015 to Feb 4, 2016
      • Financial planning clients · 1-10 to 0
        Mar 30, 2015 to Feb 4, 2016
      • Accounts · 275.0 to unset
        Jun 13, 2014 to Jul 9, 2014
      • Advisory activities · 4 to 2
        Jun 13, 2014 to Jul 9, 2014
      • BD registered reps · 3 to 1
        Jun 13, 2014 to Jul 9, 2014
      • State-registered IARs · 3 to 1
        Jun 13, 2014 to Jul 9, 2014
      • Discretionary RAUM · 35000000.0 to unset
        Jun 13, 2014 to Jul 9, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Jun 13, 2014 to Jul 9, 2014
      • RAUM · 35000000.0 to unset
        Jun 13, 2014 to Jul 9, 2014
      • Advisory activities · 5 to 4
        Mar 31, 2014 to Jun 13, 2014
      • HQ city · SAN DIEGO to unset
        Mar 31, 2014 to Jun 13, 2014
      • HQ state · CA to unset
        Mar 31, 2014 to Jun 13, 2014
      • Discretionary RAUM · $0 to $35.0M
        Mar 31, 2014 to Jun 13, 2014
      • Non-discretionary RAUM · $35.0M to $0
        Mar 31, 2014 to Jun 13, 2014
      • Accounts · 120 to 275
        Feb 6, 2013 to Mar 31, 2014
      • BD registered reps · 1 to 3
        Feb 6, 2013 to Mar 31, 2014
      • Employees · 4 to 5
        Feb 6, 2013 to Mar 31, 2014
      • Financial planning clients · 0 to 1-10
        Feb 6, 2013 to Mar 31, 2014
      • HQ city · NEW YORK to SAN DIEGO
        Feb 6, 2013 to Mar 31, 2014
      • HQ state · NY to CA
        Feb 6, 2013 to Mar 31, 2014
      • State-registered IARs · 1 to 3
        Feb 6, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $250M to $35.0M
        Feb 6, 2013 to Mar 31, 2014
      • RAUM · $250M to $35.0M
        Feb 6, 2013 to Mar 31, 2014
      • Accounts · 202 to 120
        May 7, 2012 to Feb 6, 2013
      • Advisory employees · unset to 3.0
        May 7, 2012 to Feb 6, 2013
      • Advisory activities · 4 to 5
        May 7, 2012 to Feb 6, 2013
      • BD registered reps · unset to 1.0
        May 7, 2012 to Feb 6, 2013
      • Commission compensation · true to false
        May 7, 2012 to Feb 6, 2013
      • Employees · unset to 4.0
        May 7, 2012 to Feb 6, 2013
      • Insurance-licensed employees · 0 to 1
        May 7, 2012 to Feb 6, 2013
      • State-registered IARs · 0 to 1
        May 7, 2012 to Feb 6, 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