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H••• F••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Sanibel, Floridawebsite

Former SEC-registered adviser, based in Sanibel, Florida, reporting $75.2M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$75.2M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
Private clients
99% of RAUM, $74.3M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 329490 · SEC 801-129339 · 13 filingsShow
CRD 329490SEC 801-129339First filing on the tape Dec 13, 2023, latest Nov 19, 2024SEC status 120-day approval since Jan 16, 2024IAPD
RAUM
$75.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$74.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$75.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$75.2M as of Nov 19, 2024
Dec 13, 2023$0 then
HNW client RAUM$31.6M as of Nov 19, 2024
May 29, 2024$31.6M then
State-registered IARs (5.B.3)1 as of Nov 19, 2024
Dec 13, 20231 then
Employees (5.A)1 as of Nov 19, 2024
Dec 13, 20234 then
Private funds: no history
Practice profile
derived from the filing of Nov 19, 2024; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$75.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$190,873derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$42.7M57%
  • High-net-worth individuals$31.6M42%
  • Pension and profit-sharing plans$875,4271.2%
Individual clients
96reported
HNW clients
15reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
394reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the 10 longest tenured
    NameBranchHere sinceIn industryPrior firms
    D•••• R••••• H•••Chartered Financial ConsultantSanibel, FlJun 11, 202429 y2
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••• D••••• R••••• · Principal And Chief Compliance Officercontrol
      since 12/2023 · 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
    • Employees · 3 to 1
      Jul 2, 2024 to Jul 15, 2024
    • Employees · 4 to 3
      May 29, 2024 to Jul 2, 2024
    • Accounts · 0 to 394
      May 24, 2024 to May 29, 2024
    • HNW clients · unset to 15.0
      May 24, 2024 to May 29, 2024
    • Individual clients · unset to 96.0
      May 24, 2024 to May 29, 2024
    Full history · 13 changes
    • Pension plan clients · unset to 1.0
      May 24, 2024 to May 29, 2024
    • Discretionary RAUM · $0 to $75.2M
      May 24, 2024 to May 29, 2024
    • HNW RAUM · unset to 31615550.0
      May 24, 2024 to May 29, 2024
    • Individual RAUM · unset to 42713034.0
      May 24, 2024 to May 29, 2024
    • Pension RAUM · unset to 875427.0
      May 24, 2024 to May 29, 2024
    • RAUM · $0 to $75.2M
      May 24, 2024 to May 29, 2024
    • Business name · H••• F•••••••• L•• to H••• F••••••••• I•••
      Jan 18, 2024 to Feb 28, 2024
    • Legal name · H••• F•••••••• L•• to H••• F••••••••• I•••
      Jan 18, 2024 to Feb 28, 2024
    Signals
    2 dated events
    • ••• Locked
      Feb 3, 2025 · Left the SEC roster · derived
    • ••• Locked
      Dec 13, 2023 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    ••• Lockedreportedpublic record, Form ADV, Feb 19, 2026
    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
    $75.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026