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Former SEC-registered adviser

I••••• I••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 157997SEC 801-74155IAPD
Latest filing Mar 18, 2021
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$440M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
28%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$440M as of Mar 18, 2021
Mar 28, 2013$577M then
HNW client RAUM$119M as of Mar 18, 2021
Mar 27, 2018$152M then
State-registered IARs (5.B.3)0 as of Mar 18, 2021
Mar 28, 20130 then
Employees (5.A)3 as of Mar 18, 2021
Mar 28, 20133 then
Private funds: no history
RAUM -1.3% over the last fiscal year-0.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2021; 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
$5.9MderivedHNW RAUM over HNW clients
Average account
$9.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
-1.3%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$317M72%
  • High-net-worth individuals$119M27%
  • Individuals$4.1M0.9%
Individual clients
n/areported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
45reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• H•••••• T••••••• · President And Chief Compliance Officercontrol
        since 12/1989 · owns less than 5%
      • P••••• H•••••• T••••••• · Shareholdercontrol
        since 03/1999 · owns 75% or more of H••• F•••••••• M••••••••• L••
      Entity owners
      • H••• F•••••••• M••••••••• L•• · Shareholder
        direct · 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 · 49 to 45
        Jun 26, 2020 to Mar 18, 2021
      • HNW clients · 29 to 20
        Jun 26, 2020 to Mar 18, 2021
      • Discretionary RAUM · $424M to $428M
        Jun 26, 2020 to Mar 18, 2021
      • HNW RAUM · $133M to $119M
        Jun 26, 2020 to Mar 18, 2021
      • Individual RAUM · unset to 4052168.0
        Jun 26, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · $21.0M to $12.1M
        Jun 26, 2020 to Mar 18, 2021
      • RAUM · $445M to $440M
        Jun 26, 2020 to Mar 18, 2021
      • Accounts · 52 to 49
        Mar 27, 2019 to Mar 20, 2020
      • HNW clients · 15 to 29
        Mar 27, 2019 to Mar 20, 2020
      • Discretionary RAUM · $403M to $424M
        Mar 27, 2019 to Mar 20, 2020
      • HNW RAUM · $116M to $133M
        Mar 27, 2019 to Mar 20, 2020
      • Individual RAUM · 1475043.0 to unset
        Mar 27, 2019 to Mar 20, 2020
      • Non-discretionary RAUM · $17.0M to $21.0M
        Mar 27, 2019 to Mar 20, 2020
      • RAUM · $420M to $445M
        Mar 27, 2019 to Mar 20, 2020
      • Accounts · 58 to 52
        Mar 27, 2018 to Mar 27, 2019
      • HNW clients · 16 to 15
        Mar 27, 2018 to Mar 27, 2019
      • Discretionary RAUM · $412M to $403M
        Mar 27, 2018 to Mar 27, 2019
      • HNW RAUM · $152M to $116M
        Mar 27, 2018 to Mar 27, 2019
      • Individual RAUM · unset to 1475043.0
        Mar 27, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $37.9M to $17.0M
        Mar 27, 2018 to Mar 27, 2019
      • RAUM · $450M to $420M
        Mar 27, 2018 to Mar 27, 2019
      • Accounts · 54 to 58
        Mar 22, 2017 to Mar 27, 2018
      • Advisory employees · 3 to 2
        Mar 22, 2017 to Mar 27, 2018
      • HNW clients · unset to 16.0
        Mar 22, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 27, 2018
      • Discretionary RAUM · $377M to $412M
        Mar 22, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 151728073.0
        Mar 22, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $36.0M to $37.9M
        Mar 22, 2017 to Mar 27, 2018
      • RAUM · $413M to $450M
        Mar 22, 2017 to Mar 27, 2018
      • Accounts · 97 to 54
        Mar 30, 2016 to Mar 22, 2017
      • Discretionary RAUM · $494M to $377M
        Mar 30, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $24.6M to $36.0M
        Mar 30, 2016 to Mar 22, 2017
      • RAUM · $518M to $413M
        Mar 30, 2016 to Mar 22, 2017
      • Accounts · 127 to 97
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $632M to $494M
        Mar 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $0 to $24.6M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $632M to $518M
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 142 to 127
        Mar 24, 2014 to Mar 30, 2015
      • Discretionary RAUM · $632M to $632M
        Mar 24, 2014 to Mar 30, 2015
      • RAUM · $632M to $632M
        Mar 24, 2014 to Mar 30, 2015
      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