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Former SEC-registered adviser

H••• A•••••••• L••

Former SEC-registered adviserBrentwood, TennesseeCRD 157748SEC 801-78293IAPD
Latest filing Aug 3, 2016
First filing on the tape Jun 27, 2013 · 12 filings
RAUM
$275M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$212M gross assets
History
12 filings and snapshots on the tape
RAUM$275M as of Mar 29, 2016
Mar 27, 2014$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 27, 20140 then
Employees (5.A)4 as of Mar 29, 2016
Mar 27, 20147 then
Private funds1 as of Mar 29, 2016
Mar 27, 20142 then
RAUM +8.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 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
$138MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
noreported
Compensation
fixed, 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
      H••• I••••••••• L••Hedge Fund$212M95Mar 28, 2012
      H•• I••••••••• L••no longer reportedHedge Fund$113M1Jun 27, 2013
      I••••• C•••••• I••••••••• L••Hedge Fund$6.2M11Aug 8, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• K••••• S•• · Managing Member, Owner-Presidentcontrol
        since 03/2011 · owns 75% or more
      • R••••••• D•••• M• · Chief Compliance Officer
        since 02/2015 · 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
      • Discretionary RAUM · $250M to $275M
        Oct 6, 2015 to Mar 29, 2016
      • RAUM · $250M to $275M
        Oct 6, 2015 to Mar 29, 2016
      • Accounts · 3 to 2
        Aug 28, 2015 to Oct 6, 2015
      • Advisory employees · 5 to 4
        Aug 28, 2015 to Oct 6, 2015
      • Employees · 6 to 4
        Aug 28, 2015 to Oct 6, 2015
      • Private funds · 2 to 1
        Aug 28, 2015 to Oct 6, 2015
      • Discretionary RAUM · $254M to $250M
        Aug 28, 2015 to Oct 6, 2015
      • RAUM · $254M to $250M
        Aug 28, 2015 to Oct 6, 2015
      • Accounts · 2 to 3
        Oct 2, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 5
        Oct 2, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Oct 2, 2014 to Mar 31, 2015
      • Employees · 7 to 6
        Oct 2, 2014 to Mar 31, 2015
      • Private funds · 3 to 2
        Oct 2, 2014 to Mar 31, 2015
      • Discretionary RAUM · $281M to $254M
        Oct 2, 2014 to Mar 31, 2015
      • RAUM · $281M to $254M
        Oct 2, 2014 to Mar 31, 2015
      • Private funds · 2 to 3
        Mar 27, 2014 to Aug 8, 2014
      • Advisory employees · 5 to 6
        Jul 3, 2013 to Mar 27, 2014
      • Employees · 6 to 7
        Jul 3, 2013 to Mar 27, 2014
      • Discretionary RAUM · $219M to $281M
        Jul 3, 2013 to Mar 27, 2014
      • RAUM · $219M to $281M
        Jul 3, 2013 to Mar 27, 2014
      Signals
      1 dated events
      • H••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 27, 2013 · First SEC registration · fact
      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