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Former SEC-registered adviser

H•••• M••••

Former SEC-registered adviserCRD 288696SEC 801-110795IAPD
Legal name H•••• M••••• I•••
Latest filing Apr 30, 2019
First filing on the tape Jun 9, 2017 · 5 filings
RAUM
$2.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.0M as of Mar 31, 2019
Apr 30, 2018$16,896 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2019
Apr 30, 20183 then
Employees (5.A)6 as of Mar 31, 2019
Apr 30, 20188 then
Private funds: no history
RAUM +12207% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 30, 2019; every figure names its basis
RAUM per advisor
$693,111derivedRAUM 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
$6,027derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11707%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, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$2.1MreportedItem 5.I
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
  • Individuals$2.1M100%
Individual clients
223reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
345reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • M•••• E•••••• R••••• · Manager And Chief Executive Officercontrol
        since 04/2017 · owns 50% to 75%
      • M•••••••• A•••••• J•••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 04/2017 · owns 50% to 75%
      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 · 619 to 345
        Apr 16, 2019 to Apr 30, 2019
      • Individual clients · 619 to 223
        Apr 16, 2019 to Apr 30, 2019
      • Assets in custody · 1994914.0 to unset
        Apr 16, 2019 to Apr 30, 2019
      • Custody of client assets · true to false
        Apr 16, 2019 to Apr 30, 2019
      • Discretionary RAUM · $2.0M to $2.1M
        Apr 16, 2019 to Apr 30, 2019
      • Individual RAUM · $2.0M to $2.1M
        Apr 16, 2019 to Apr 30, 2019
      • RAUM · $2.0M to $2.1M
        Apr 16, 2019 to Apr 30, 2019
      • Assets in custody · $16,896 to $2.0M
        Mar 31, 2019 to Apr 16, 2019
      • Accounts · 14 to 619
        Apr 30, 2018 to Mar 31, 2019
      • Individual clients · 14 to 619
        Apr 30, 2018 to Mar 31, 2019
      • Employees · 8 to 6
        Apr 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $16,896 to $2.0M
        Apr 30, 2018 to Mar 31, 2019
      • Individual RAUM · $16,896 to $2.0M
        Apr 30, 2018 to Mar 31, 2019
      • RAUM · $16,896 to $2.0M
        Apr 30, 2018 to Mar 31, 2019
      • Wrap assets (sponsor) · $16,896 to $0
        Apr 30, 2018 to Mar 31, 2019
      • Accounts · 0 to 14
        Jun 9, 2017 to Apr 30, 2018
      • Advisory employees · 2 to 3
        Jun 9, 2017 to Apr 30, 2018
      • Individual clients · unset to 14.0
        Jun 9, 2017 to Apr 30, 2018
      • Assets in custody · unset to 16896.0
        Jun 9, 2017 to Apr 30, 2018
      • Custody of client assets · false to true
        Jun 9, 2017 to Apr 30, 2018
      • Employees · 2 to 8
        Jun 9, 2017 to Apr 30, 2018
      • State-registered IARs · 2 to 3
        Jun 9, 2017 to Apr 30, 2018
      • Other offices · unset to 0.0
        Jun 9, 2017 to Apr 30, 2018
      • Discretionary RAUM · $0 to $16,896
        Jun 9, 2017 to Apr 30, 2018
      • Individual RAUM · unset to 16896.0
        Jun 9, 2017 to Apr 30, 2018
      • RAUM · $0 to $16,896
        Jun 9, 2017 to Apr 30, 2018
      • Wrap assets (manager) · unset to 0.0
        Jun 9, 2017 to Apr 30, 2018
      • Wrap assets (sponsor) · unset to 16896.0
        Jun 9, 2017 to Apr 30, 2018
      Signals
      1 dated events
      • H•••• M•••• filed its initial SEC registration (Form ADV)
        Jun 9, 2017 · 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