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Former SEC-registered adviser

E••• H••• M••••••••• C••••••• L••

Former SEC-registered adviserPeterborough, New HampshireCRD 160663SEC 801-74216IAPD
Latest filing Apr 22, 2019
First filing on the tape Feb 15, 2012 · 12 filings
RAUM
$106M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
15%
$15.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$48.0M gross assets
History
12 filings and snapshots on the tape
RAUM$115M as of Feb 15, 2019
Apr 1, 2013$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 15, 2019
Apr 1, 20130 then
Employees (5.A)3 as of Feb 15, 2019
Apr 1, 20136 then
Private funds1 as of Feb 15, 2019
Apr 1, 20131 then
RAUM -40% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 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
$26.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$48.0M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$48.0M45%
  • Charitable organizations$41.8M40%
  • Individuals$15.9M15%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$48.0M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••• H••• H•••• F•••• L••Hedge Fund$48.0M7Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• T•••••• M•••••• · Managercontrol
        since 06/2017 · owns less than 5%
      • R•••• S•••••• A•• · Chief Compliance Officercontrol
        since 08/2009 · owns less than 5%
      Entity owners
      • L••••• T••••• C••• E••••• T••••• M• C••• E••••••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Feb 15, 2019 to Apr 22, 2019
      • Assets in custody · $43.3M to $48.0M
        Feb 15, 2019 to Apr 22, 2019
      • Discretionary RAUM · $115M to $106M
        Feb 15, 2019 to Apr 22, 2019
      • Individual RAUM · $29.4M to $15.9M
        Feb 15, 2019 to Apr 22, 2019
      • Pooled vehicle RAUM · $43.3M to $48.0M
        Feb 15, 2019 to Apr 22, 2019
      • RAUM · $115M to $106M
        Feb 15, 2019 to Apr 22, 2019
      • Accounts · 6 to 5
        Mar 28, 2018 to Feb 15, 2019
      • Assets in custody · $52.8M to $43.3M
        Mar 28, 2018 to Feb 15, 2019
      • Employees · 4 to 3
        Mar 28, 2018 to Feb 15, 2019
      • Discretionary RAUM · $176M to $115M
        Mar 28, 2018 to Feb 15, 2019
      • Individual RAUM · $70.9M to $29.4M
        Mar 28, 2018 to Feb 15, 2019
      • Pooled vehicle RAUM · $52.8M to $43.3M
        Mar 28, 2018 to Feb 15, 2019
      • RAUM · $176M to $115M
        Mar 28, 2018 to Feb 15, 2019
      • Advisory employees · 2 to 1
        Jan 5, 2018 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Jan 5, 2018 to Mar 28, 2018
      • Assets in custody · $50.4M to $52.8M
        Jan 5, 2018 to Mar 28, 2018
      • Employees · 5 to 4
        Jan 5, 2018 to Mar 28, 2018
      • Discretionary RAUM · $170M to $176M
        Jan 5, 2018 to Mar 28, 2018
      • Individual RAUM · unset to 70891646.0
        Jan 5, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 52847660.0
        Jan 5, 2018 to Mar 28, 2018
      • RAUM · $170M to $176M
        Jan 5, 2018 to Mar 28, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Jan 5, 2018
      • Assets in custody · $43.2M to $50.4M
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $157M to $170M
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $157M to $170M
        Mar 28, 2016 to Mar 28, 2017
      • Assets in custody · $46.5M to $43.2M
        Jul 16, 2015 to Mar 28, 2016
      • Discretionary RAUM · $173M to $157M
        Jul 16, 2015 to Mar 28, 2016
      • RAUM · $173M to $157M
        Jul 16, 2015 to Mar 28, 2016
      • HQ city · PROVIDENCE to PETERBOROUGH
        Mar 31, 2015 to Jul 16, 2015
      • HQ state · RI to NH
        Mar 31, 2015 to Jul 16, 2015
      • Accounts · 9 to 6
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $1.2M to $46.5M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $230M to $173M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $230M to $173M
        Mar 31, 2014 to Mar 31, 2015
      • Related adviser · true to false
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 10 to 9
        Nov 18, 2013 to Mar 31, 2014
      • Assets in custody · $439,573 to $1.2M
        Nov 18, 2013 to Mar 31, 2014
      • Employees · 6 to 5
        Nov 18, 2013 to Mar 31, 2014
      • Discretionary RAUM · $253M to $230M
        Nov 18, 2013 to Mar 31, 2014
      • RAUM · $253M to $230M
        Nov 18, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • Brian James (Vice President) no longer on Schedule A of E••• H••• M••••••••• C••••••• L•• (listed 2018-03-28, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      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