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Former SEC-registered adviser

H••••••• E••••• M••••••••• L••

Former SEC-registered adviserFort Pierce, FloridaCRD 291647SEC 801-114181IAPD
Latest filing Feb 26, 2019
First filing on the tape Sep 25, 2018 · 2 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $126M
HNW client RAUM$0 as of Feb 26, 2019
Sep 25, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 26, 2019
Sep 25, 20180 then
Employees (5.A)2 as of Feb 26, 2019
Sep 25, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 26, 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
$126MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
  • 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
  • Other investment advisers$126M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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••••••• G••••••• J•• · Ceocontrol
        since 07/2017 · owns 75% or more
      • L••••••• F••••• A••••• · Cco
        since 07/2017 · owns less than 5%
      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 · unset to 1.0
        Sep 25, 2018 to Feb 26, 2019
      • HQ city · BEVERLY HILLS to FORT PIERCE
        Sep 25, 2018 to Feb 26, 2019
      • HQ state · CA to FL
        Sep 25, 2018 to Feb 26, 2019
      • Discretionary RAUM · unset to 126083688.0
        Sep 25, 2018 to Feb 26, 2019
      • Non-discretionary RAUM · unset to 0.0
        Sep 25, 2018 to Feb 26, 2019
      • RAUM · unset to 126083688.0
        Sep 25, 2018 to Feb 26, 2019
      Signals
      1 dated events
      • H••••••• E••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 25, 2018 · 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