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Former SEC-registered adviser

T•• H•••••• G••••• L••

Former SEC-registered adviserNew Orleans, LouisianaCRD 162981SEC 801-76932IAPD
Legal name T••• H•••••• A•••••
Latest filing Jul 22, 2019
First filing on the tape Jul 13, 2012 · 10 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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Apr 1, 20130 then
Employees (5.A)1 as of Mar 20, 2019
Apr 1, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
pension consulting, educational seminarsreportedItem 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
      • A•••••• T•••• H•••••• · Ccocontrol
        since 12/2011 · 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
      • Business name · T•• H•••••• G•••• to T•• H•••••• G••••• L••
        Mar 20, 2019 to Jul 22, 2019
      • Advisory activities · 3 to 2
        May 23, 2018 to Mar 20, 2019
      • Organization form · Sole Proprietorship to Limited Liability Company
        May 23, 2018 to Mar 20, 2019
      • Other offices · unset to 1.0
        Jul 5, 2017 to May 23, 2018
      • Advisory activities · 5 to 3
        Apr 29, 2015 to Oct 19, 2016
      • Employees · 2 to 1
        Apr 29, 2015 to Oct 19, 2016
      • Financial planning clients · 1-10 to 0
        Apr 29, 2015 to Oct 19, 2016
      • Advisory activities · 3 to 5
        Jul 7, 2014 to Apr 29, 2015
      • Employees · 1 to 2
        Jul 7, 2014 to Apr 29, 2015
      • Financial planning clients · unset to 1-10
        Jul 7, 2014 to Apr 29, 2015
      • Advisory employees · unset to 1.0
        Jul 23, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Jul 23, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        Jul 23, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jul 23, 2012 to Apr 1, 2013
      • Legal name · T•• H•••••• G•••• to T••• H•••••• A•••••
        Jul 23, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • ••• Locked
        Jul 13, 2012 · First SEC registration · fact
      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