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H••••• C•••••• L•••••• P•••••••••

Former SEC-registered adviserFormer SEC adviser2 private funds· New Albany, Ohio

Former SEC-registered adviser, based in New Albany, Ohio, reporting $209M of regulatory assets.

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

Last reported RAUM
$209M
Form ADV
RAUM change, last fiscal year
-30%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2023, RAUM $298M to $209M (-29.8%) on the Form ADV filed 23 Mar 2023.

Every filed figure, and the identifiersCRD 299914 · SEC 801-114574 · 7 filingsShow
CRD 299914SEC 801-114574First filing on the tape Dec 14, 2018, latest Mar 23, 2023IAPD
RAUM
$209M
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
Not computed
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$209M gross assets
History
7 filings and snapshots on the tape

RAUM +0.9% a year over three years · the tape starts Dec 14, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$209M as of Mar 23, 2023
Mar 27, 2020$204M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2023
Mar 27, 20200 then
Employees (5.A)5 as of Mar 23, 2023
Mar 27, 20205 then
Private funds2 as of Mar 23, 2023
Mar 27, 20202 then
RAUM -30% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2023; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$52.2MderivedRAUM 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
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$209M, 4 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$209M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$209M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••• C•••••• M••••• F••• L•Hedge Fund$191M68May 30, 2019
      H••••• O••••••••• F••• I• L•Hedge Fund$18.0M10Mar 27, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• G••••• W•••••• · L•••••• Partner, Principalcontrol
        since 03/2018 · owns 50% to 75%
      • B••••••• J•••••• A••• · Chief Operating Officer, Chief Financial Officer, Chief Compliance Officercontrol
        since 08/2018 · owns less than 5%
      • W••••••••• B••••• P•••••• · L•••••• Partner, Principalcontrol
        since 03/2018 · owns 25% to 50%
      • B•••••• G••••• W•••••• · Manager, Membercontrol
        since 03/2018 · owns 50% to 75% of H••••• C•••••• L•••••• P••••••••• G• L••
      • W••••••••• B••••• P•••••• · Manager, Membercontrol
        since 03/2018 · owns 25% to 50% of H••••• C•••••• L•••••• P••••••••• G• L••
      Entity owners
      • H••••• C•••••• L•••••• P••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • H••••• C•••••• F••• G• L•
        pooled vehicle sponsorn
      • H••••• O••••••••• F••• I• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $298M to $209M
        Mar 25, 2022 to Mar 23, 2023
      • Employees · 6 to 5
        Mar 25, 2022 to Mar 23, 2023
      • Discretionary RAUM · $298M to $209M
        Mar 25, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $298M to $209M
        Mar 25, 2022 to Mar 23, 2023
      • RAUM · $298M to $209M
        Mar 25, 2022 to Mar 23, 2023
      Full history · 30 changes
      • Assets in custody · $265M to $298M
        Mar 19, 2021 to Mar 25, 2022
      • Employees · 5 to 6
        Mar 19, 2021 to Mar 25, 2022
      • Discretionary RAUM · $265M to $298M
        Mar 19, 2021 to Mar 25, 2022
      • Pooled vehicle RAUM · $265M to $298M
        Mar 19, 2021 to Mar 25, 2022
      • RAUM · $265M to $298M
        Mar 19, 2021 to Mar 25, 2022
      • Accounts · 3 to 4
        Apr 14, 2020 to Mar 19, 2021
      • Pooled vehicle clients · 3 to 4
        Apr 14, 2020 to Mar 19, 2021
      • Assets in custody · $204M to $265M
        Apr 14, 2020 to Mar 19, 2021
      • Discretionary RAUM · $204M to $265M
        Apr 14, 2020 to Mar 19, 2021
      • Pooled vehicle RAUM · $204M to $265M
        Apr 14, 2020 to Mar 19, 2021
      • RAUM · $204M to $265M
        Apr 14, 2020 to Mar 19, 2021
      • Assets in custody · $98.8M to $204M
        May 30, 2019 to Mar 27, 2020
      • Private funds · 1 to 2
        May 30, 2019 to Mar 27, 2020
      • Discretionary RAUM · $98.8M to $204M
        May 30, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $98.8M to $204M
        May 30, 2019 to Mar 27, 2020
      • RAUM · $98.8M to $204M
        May 30, 2019 to Mar 27, 2020
      • Accounts · unset to 3.0
        Dec 14, 2018 to May 30, 2019
      • Pooled vehicle clients · unset to 3.0
        Dec 14, 2018 to May 30, 2019
      • Assets in custody · unset to 98785963.0
        Dec 14, 2018 to May 30, 2019
      • Custody of client assets · false to true
        Dec 14, 2018 to May 30, 2019
      • Private funds · unset to 1
        Dec 14, 2018 to May 30, 2019
      • Discretionary RAUM · unset to 98785963.0
        Dec 14, 2018 to May 30, 2019
      • Non-discretionary RAUM · unset to 0.0
        Dec 14, 2018 to May 30, 2019
      • Pooled vehicle RAUM · unset to 98785963.0
        Dec 14, 2018 to May 30, 2019
      • RAUM · unset to 98785963.0
        Dec 14, 2018 to May 30, 2019
      Signals
      2 dated events
      • ••• Locked
        Mar 27, 2020 · RAUM change · derived
      • ••• Locked
        Dec 14, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026