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Former SEC-registered adviser

E•••••• H•••••••

Former SEC-registered adviserCincinnati, OhioCRD 153142SEC 801-71198IAPD
Legal name E•••••• H•••••••• L••
Latest filing Mar 29, 2017
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$105M as of Mar 29, 2017
Mar 28, 2012$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 28, 20120 then
Employees (5.A)0 as of Mar 29, 2017
Mar 28, 20130 then
Private funds2 as of Mar 30, 2015
Mar 28, 20133 then
RAUM -42% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$52.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-42%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$105M, 2 clientsreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$105M for 2 clientsreported
Compensation
% of AUM, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P• M•••••• F•••• S••• • S••••••••• P•••••••• 2•no longer reportedHedge Fund$47.7M14Mar 28, 2012
      E•••••• O••••••• F•••• L•••no longer reportedHedge Fund$22.4M10Mar 28, 2013
      F•• S•••••• F••• O•• L•••no longer reportedPrivate Equity Fund$97,9431Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• C••••••• F•••••••• · General Counsel And Chief Compliance Officercontrol
        since 09/2003 · owns less than 5%
      • S••••• J•••• M•••••• · Elected M••••••, President, Chief Operating Officercontrol
        since 09/2003 · owns less than 5%
      • S••••• S•••••• N••• · Elected M••••••, Chairman & Chief Executive Officercontrol
        since 09/2003 · owns less than 5%
      • S••••• J•••• M•••••• · Membercontrol
        since 04/2008 · owns 25% to 50% of F•• G••••• L••
      • S••••• J•••• M•••••• · Shareholdercontrol
        since 04/2008 · owns 25% to 50% of F•• G•••• Holdings, Inc.
      • S••••• S•••••• N••• · Membercontrol
        since 04/2008 · owns 25% to 50% of F•• G••••• L••
      • S••••• S•••••• N••• · Shareholdercontrol
        since 04/2008 · owns 50% to 75% of F•• G•••• Holdings, Inc.
      • W•••• A••••••••• D•••• · Shareholdercontrol
        since 04/2008 · owns 25% to 50% of F•• G•••• Holdings, Inc.
      Entity owners
      • F•• G••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT
      • Walnut Creek, CA
      What changed
      consecutive filings, newest first
      • Advisory activities · 2 to 1
        Mar 29, 2016 to Mar 29, 2017
      • Assets in custody · $180M to $105M
        Mar 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $180M to $105M
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $180M to $105M
        Mar 29, 2016 to Mar 29, 2017
      • Accounts · 5 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Advisory activities · 3 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $201M to $180M
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 2 to unset
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $249M to $180M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $249M to $180M
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 6 to 5
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $271M to $201M
        Mar 26, 2014 to Mar 30, 2015
      • Private funds · 3 to 2
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $349M to $249M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $349M to $249M
        Mar 26, 2014 to Mar 30, 2015
      • Accounts · 8 to 6
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $245M to $271M
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $316M to $349M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $316M to $349M
        Mar 28, 2013 to Mar 26, 2014
      • Accounts · 7 to 8
        Oct 15, 2012 to Mar 28, 2013
      • Advisory employees · unset to 0.0
        Oct 15, 2012 to Mar 28, 2013
      • Assets in custody · $221M to $245M
        Oct 15, 2012 to Mar 28, 2013
      • Employees · unset to 0.0
        Oct 15, 2012 to Mar 28, 2013
      • Private funds · 2 to 3
        Oct 15, 2012 to Mar 28, 2013
      • Discretionary RAUM · $254M to $316M
        Oct 15, 2012 to Mar 28, 2013
      • RAUM · $254M to $316M
        Oct 15, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 3
        Mar 28, 2012 to Oct 15, 2012
      • Private funds · unset to 2
        Mar 28, 2012 to Oct 15, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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