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Former SEC-registered adviser

H••••• • S••••••• I•••

Former SEC-registered adviserBrookfield, WisconsinCRD 25388SEC 801-17285IAPD
Latest filing Aug 13, 2015
First filing on the tape Feb 13, 2012 · 7 filings
RAUM
$62.1M
reported, Item 5.F
Discretionary
99%
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$113M as of Feb 6, 2015
Feb 13, 2012$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 6, 2015
Mar 18, 20132 then
Employees (5.A)7 as of Feb 6, 2015
Mar 18, 20138 then
Private funds: no history
RAUM -53% over the last fiscal year-26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 13, 2015; every figure names its basis
RAUM per advisor
$31.0MderivedRAUM 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
$122,719derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • 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
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
506reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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•••••• L•••• J• · Treasurercontrol
        since 01/2012 · owns less than 5%
      • H•••••• L••••••• T•••• · Director, Chairman, And Chief Executive Officercontrol
        since 08/1998 · owns less than 5%
      • S••••••• W••••••• J••••• · Director, President, Chief Operating Officer, And Chief Compliance Officercontrol
        since 08/1998 · owns less than 5%
      • H•••••• L••••••• T•••• · Director, Chairman, Chief Executive Officercontrol
        since 08/1998 · owns 50% to 75% of H••••• • S•••••• E••••••••• I••.
      • S••••••• W••••••• J••••• · Director, President, Chief Executive Officer, Secretary And Directorcontrol
        since 08/1998 · owns 50% to 75% of H••••• • S•••••• E••••••••• I••.
      • P••••• M•••••••• J••• · Secretary
        since 05/2009 · owns less than 5%
      Entity owners
      • H••••• • S•••••• E••••••••• I•• · 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 · 518 to 506
        Feb 6, 2015 to Jul 20, 2015
      • Employees · 7 to 6
        Feb 6, 2015 to Jul 20, 2015
      • Discretionary RAUM · $112M to $61.6M
        Feb 6, 2015 to Jul 20, 2015
      • RAUM · $113M to $62.1M
        Feb 6, 2015 to Jul 20, 2015
      • Accounts · 542 to 518
        Mar 14, 2014 to Feb 6, 2015
      • Discretionary RAUM · $132M to $112M
        Mar 14, 2014 to Feb 6, 2015
      • Non-discretionary RAUM · $1.0M to $543,298
        Mar 14, 2014 to Feb 6, 2015
      • RAUM · $133M to $113M
        Mar 14, 2014 to Feb 6, 2015
      • Accounts · 654 to 542
        Oct 25, 2013 to Mar 14, 2014
      • Employees · 8 to 7
        Oct 25, 2013 to Mar 14, 2014
      • Discretionary RAUM · $148M to $132M
        Oct 25, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $803,185 to $1.0M
        Oct 25, 2013 to Mar 14, 2014
      • RAUM · $148M to $133M
        Oct 25, 2013 to Mar 14, 2014
      • Accounts · 686 to 654
        Feb 13, 2012 to Mar 18, 2013
      • Advisory employees · unset to 5.0
        Feb 13, 2012 to Mar 18, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 18, 2013
      • Employees · unset to 8.0
        Feb 13, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 2.0
        Feb 13, 2012 to Mar 18, 2013
      • Discretionary RAUM · $155M to $148M
        Feb 13, 2012 to Mar 18, 2013
      • Non-discretionary RAUM · $560,000 to $803,185
        Feb 13, 2012 to Mar 18, 2013
      • RAUM · $156M to $148M
        Feb 13, 2012 to Mar 18, 2013
      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