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Former SEC-registered adviser

S••••• F••••••••

Former SEC-registered adviserNew York, New YorkCRD 311572SEC 801-120490IAPD
Legal name F••••• H••• I••••••••• A••••••• I•••
Latest filing Mar 19, 2023
First filing on the tape Feb 9, 2021 · 9 filings
RAUM
$31,281
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31,281 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$31,281 as of Mar 19, 2023
Mar 11, 2022$7,344 then
HNW client RAUM$0 as of Mar 19, 2023
Mar 11, 2022$0 then
State-registered IARs (5.B.3)1 as of Mar 19, 2023
Mar 11, 20221 then
Employees (5.A)4 as of Mar 19, 2023
Mar 11, 20222 then
Private funds: no history
RAUM +326% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2023; every figure names its basis
RAUM per advisor
$31,281derivedRAUM over IAPD advisors; not a book size
Clients per advisor
14derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2,234derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+326%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$31,281reportedItem 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$31,281100%
Individual clients
14reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • F••••• M••••••••• T• · Ceo & Chief Compliance Officercontrol
        since 02/2020 · owns 75% or more
      • F••••• S••••• G•••••• · Cto & Shareholdercontrol
        since 09/2020 · owns 25% to 50%
      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 · 16 to 14
        Mar 18, 2022 to Mar 19, 2023
      • Individual clients · 16 to 14
        Mar 18, 2022 to Mar 19, 2023
      • Employees · 2 to 4
        Mar 18, 2022 to Mar 19, 2023
      • HQ city · BROOKLYN to NEW YORK
        Mar 18, 2022 to Mar 19, 2023
      • Discretionary RAUM · $7,344 to $31,281
        Mar 18, 2022 to Mar 19, 2023
      • Individual RAUM · $7,344 to $31,281
        Mar 18, 2022 to Mar 19, 2023
      • RAUM · $7,344 to $31,281
        Mar 18, 2022 to Mar 19, 2023
      • Accounts · 0 to 16
        Apr 9, 2021 to Mar 11, 2022
      • Charity clients · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Corporate clients · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • HNW clients · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Individual clients · unset to 16.0
        Apr 9, 2021 to Mar 11, 2022
      • Pension plan clients · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Pooled vehicle clients · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Discretionary RAUM · $0 to $7,344
        Apr 9, 2021 to Mar 11, 2022
      • HNW RAUM · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Individual RAUM · unset to 7344.0
        Apr 9, 2021 to Mar 11, 2022
      • Pension RAUM · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • Pooled vehicle RAUM · unset to 0.0
        Apr 9, 2021 to Mar 11, 2022
      • RAUM · $0 to $7,344
        Apr 9, 2021 to Mar 11, 2022
      • Business name · F••••• H••• I••••••••• A••••••• I••• to S••••• F••••••••
        Mar 23, 2021 to Apr 9, 2021
      Signals
      1 dated events
      • F••••• H••• I••••••••• A••••••• I••• filed its initial SEC registration (Form ADV)
        Feb 9, 2021 · 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