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Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $116M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$116M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-7.0%
Form ADV, consecutive annual filings
Private clients
98% of RAUM, $114M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 8.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 174070 · SEC 801-80757 · 10 filingsShow
CRD 174070SEC 801-80757First filing on the tape Dec 12, 2014, latest Feb 26, 2018IAPD
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$114M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$116M as of Feb 26, 2018
Mar 10, 2016$122M then
HNW client RAUM: $114M
State-registered IARs (5.B.3)1 as of Feb 26, 2018
Mar 10, 20161 then
Employees (5.A)1 as of Feb 26, 2018
Mar 10, 20161 then
Private funds: no history
RAUM -7.0% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 2018; every figure names its basis
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$19.0MderivedHNW RAUM over HNW clients
Average account
$16.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$114M98%
  • Charitable organizations$1.8M1.5%
Individual clients
0reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• T•••••• S••••• · Managing Member & Ccocontrol
        since 01/2013 · 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 · 21 to 7
        Mar 23, 2017 to Feb 26, 2018
      • Charity clients · unset to 1.0
        Mar 23, 2017 to Feb 26, 2018
      • Corporate clients · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • HNW clients · unset to 6.0
        Mar 23, 2017 to Feb 26, 2018
      • Individual clients · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Discretionary RAUM · $125M to $116M
        Mar 23, 2017 to Feb 26, 2018
      • HNW RAUM · unset to 114207668.0
        Mar 23, 2017 to Feb 26, 2018
      • Individual RAUM · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Pension RAUM · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 23, 2017 to Feb 26, 2018
      • RAUM · $125M to $116M
        Mar 23, 2017 to Feb 26, 2018
      • Accounts · 19 to 21
        Mar 10, 2016 to Mar 13, 2017
      • Discretionary RAUM · $122M to $125M
        Mar 10, 2016 to Mar 13, 2017
      • RAUM · $122M to $125M
        Mar 10, 2016 to Mar 13, 2017
      • Accounts · 17 to 19
        Apr 10, 2015 to Mar 10, 2016
      • Discretionary RAUM · $115M to $122M
        Apr 10, 2015 to Mar 10, 2016
      • RAUM · $115M to $122M
        Apr 10, 2015 to Mar 10, 2016
      • Accounts · 0 to 17
        Dec 16, 2014 to Apr 10, 2015
      • Discretionary RAUM · $0 to $115M
        Dec 16, 2014 to Apr 10, 2015
      • RAUM · $0 to $115M
        Dec 16, 2014 to Apr 10, 2015
      • Legal name · H•••••, T••••• S to V•••• T•••• C•••••• L••
        Dec 12, 2014 to Dec 12, 2014
      Signals
      1 dated events
      • ••• Locked
        Dec 12, 2014 · 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