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Former SEC-registered adviser

H•••• A•••• M••••••••• •••••••• F••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 317239SEC 801-126378IAPD
Latest filing Feb 28, 2024
First filing on the tape Nov 30, 2021 · 6 filings
RAUM
$16.4M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$16.4M as of Feb 28, 2024
Mar 29, 2023$2.9M then
HNW client RAUM$0 as of Feb 28, 2024
Mar 29, 2023$0 then
State-registered IARs (5.B.3)0 as of Feb 28, 2024
Mar 29, 20230 then
Employees (5.A)4 as of Feb 28, 2024
Mar 29, 20234 then
Private funds: no history
RAUM +470% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 28, 2024; 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
$16.4MderivedRAUM 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
+470%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$16.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
1-10reported
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
      • H•••••• A••••• M••••••••• · Chief Executive Officercontrol
        since 09/2021 · owns 75% or more
      • I••••••••• J•••••• •••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 02/2022 · 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
      • Discretionary RAUM · $2.9M to $16.4M
        Mar 29, 2023 to Feb 28, 2024
      • RAUM · $2.9M to $16.4M
        Mar 29, 2023 to Feb 28, 2024
      • Discretionary RAUM · $3.0M to $2.9M
        Dec 8, 2022 to Mar 29, 2023
      • RAUM · $3.0M to $2.9M
        Dec 8, 2022 to Mar 29, 2023
      • Accounts · 0 to 1
        Jul 12, 2022 to Dec 8, 2022
      • Advisory employees · 3 to 2
        Jul 12, 2022 to Dec 8, 2022
      • Employees · 5 to 4
        Jul 12, 2022 to Dec 8, 2022
      • Financial planning clients · 0 to 1-10
        Jul 12, 2022 to Dec 8, 2022
      • Discretionary RAUM · $0 to $3.0M
        Jul 12, 2022 to Dec 8, 2022
      • RAUM · $0 to $3.0M
        Jul 12, 2022 to Dec 8, 2022
      Signals
      3 dated events
      • P•••• J••••• I••••••••• (Chief Financial Officer & Chief Compliance Officer) appeared on Schedule A of H•••• A•••• M••••••••• •••••••• F••••• L••
        Apr 5, 2022 · Control person joined · fact
      • E•••• C•••• M••• (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of H•••• A•••• M••••••••• •••••••• F••••• L•• (listed 2021-11-30, absent 2022-04-05)
        Apr 5, 2022 · Control person left · inference
      • H•••• A•••• M••••••••• •••••••• F••••• L•• filed its initial SEC registration (Form ADV)
        Nov 30, 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