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Former SEC-registered adviser

H••••••• A•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 314879SEC 801-121670IAPD
Latest filing May 15, 2024
First filing on the tape Jun 2, 2021 · 14 filings
RAUM
$534,799
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$196,554 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
14 filings and snapshots on the tape
RAUM$534,799 as of Mar 11, 2024
Mar 9, 2022$0 then
HNW client RAUM: $184,962
State-registered IARs (5.B.3)1 as of Mar 11, 2024
Mar 9, 20221 then
Employees (5.A)2 as of Mar 11, 2024
Mar 9, 20221 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 15, 2024; every figure names its basis
RAUM per advisor
$534,799derivedRAUM over IAPD advisors; not a book size
Clients per advisor
449derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2,642derivedHNW RAUM over HNW clients
Average account
$1,186derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$338,24563%
  • High-net-worth individuals$184,96235%
  • Individuals$11,5922.2%
Individual clients
379reported
HNW clients
70reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
451reported
Financial planning clients
n/areported
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
      • D••••••• C•••••• A••••• · Chief Compliance Officercontrol
        since 04/2021 · owns less than 5%
      • D••••••• C•••••• A••••• · Directorcontrol
        since 04/2021 · owns 25% to 50% of H••••••• T••••••••• I••
      • C••••••••• T•••••• C•••••• · Ceo
        since 04/2021 · owns 25% to 50% of H••••••• T••••••••• I••
      Entity owners
      • H••••••• T••••••••• I•• · Holding Company
        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 · 350 to 451
        Oct 10, 2023 to Mar 11, 2024
      • HNW clients · 101 to 70
        Oct 10, 2023 to Mar 11, 2024
      • Individual clients · 244 to 379
        Oct 10, 2023 to Mar 11, 2024
      • Discretionary RAUM · $282,691 to $534,799
        Oct 10, 2023 to Mar 11, 2024
      • HNW RAUM · $116,764 to $184,962
        Oct 10, 2023 to Mar 11, 2024
      • Individual RAUM · $4,721 to $11,592
        Oct 10, 2023 to Mar 11, 2024
      • RAUM · $282,691 to $534,799
        Oct 10, 2023 to Mar 11, 2024
      • Accounts · 10 to 350
        Aug 14, 2023 to Oct 10, 2023
      • Advisory activities · 2 to 3
        Aug 14, 2023 to Oct 10, 2023
      • Corporate clients · unset to 5.0
        Aug 14, 2023 to Oct 10, 2023
      • HNW clients · unset to 101.0
        Aug 14, 2023 to Oct 10, 2023
      • Individual clients · 10 to 244
        Aug 14, 2023 to Oct 10, 2023
      • Discretionary RAUM · $13,323 to $282,691
        Aug 14, 2023 to Oct 10, 2023
      • HNW RAUM · unset to 116764.0
        Aug 14, 2023 to Oct 10, 2023
      • Individual RAUM · $13,323 to $4,721
        Aug 14, 2023 to Oct 10, 2023
      • RAUM · $13,323 to $282,691
        Aug 14, 2023 to Oct 10, 2023
      • Accounts · 0 to 10
        Apr 12, 2023 to May 11, 2023
      • Individual clients · unset to 10.0
        Apr 12, 2023 to May 11, 2023
      • Discretionary RAUM · $0 to $13,323
        Apr 12, 2023 to May 11, 2023
      • Individual RAUM · unset to 13323.0
        Apr 12, 2023 to May 11, 2023
      • RAUM · $0 to $13,323
        Apr 12, 2023 to May 11, 2023
      • Wrap assets (manager) · 0.0 to unset
        Apr 12, 2023 to May 11, 2023
      • Wrap assets (sponsor) · 0.0 to unset
        Apr 12, 2023 to May 11, 2023
      • Employees · 1 to 2
        Mar 9, 2022 to Feb 1, 2023
      • HQ city · unset to SAN FRANCISCO
        Jul 9, 2021 to Mar 9, 2022
      • HQ state · unset to CA
        Jul 9, 2021 to Mar 9, 2022
      Signals
      1 dated events
      • H••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 2, 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