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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

MWM ADVISORY

MWM ADVISORY SERVICES LLC, CRD 166411

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:086cd60b-2c95-a414-a3cb-44083535f76a

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 2
On other graphs: 1
Observed: Nov 25, 2013 to Mar 21, 2019
17 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

MWM Advisory

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $70.9MItem 5.F on the latest filing (2019-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $62.2M
Private client RAUM: $52.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 16
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 450
Individual clients: 238
High net worth clients: 60
Custody, client assets: $2.7M
SEC number: 801-106583
CRD: 166411
Filings on the tape: 17
First filed: Nov 25, 2013
Latest filed: Mar 21, 2019
Organised: Limited Liability Company, Kentucky

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CONNER, JAY, GORDON	CHIEF COMPLIANCE OFFICER	Na	yes	07/2018	Oct 2, 2018	Mar 21, 2019
MEDLEY, DIANE, BENNETT	Partner	C	yes	03/2010	Nov 25, 2013	Mar 21, 2019
MERITRUST HOLDINGS LLC	DOMESTIC ENTITY	D	yes	02/2010	Nov 25, 2013	Mar 21, 2019
CAMMACK, MARCIA, JOHNSON	Member	A	no	01/2009	Nov 25, 2013	Mar 21, 2019
FURLONG, THOMAS, PATRICK	Member	A	no	01/2005	Nov 25, 2013	Mar 21, 2019
HILL, FRANK, PHILLIP	Member	A	no	01/2009	Nov 25, 2013	Mar 21, 2019
KALLIS, JOHN, GEORGE	CHIEF OPERATING OFFICER	B	no	02/2010	Nov 25, 2013	Mar 21, 2019

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MERITRUST CONSULTING LLC	n/a	n/a	n/a	Y	yes	n/a
MOUNTJOY CHILTON MEDLEY LLP	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Jeffersonville	In	United States	3	no
Lexington	Ky	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 21, 2019	$70.9M	$62.2M	16	16	2	n/a	n/a
2017	Mar 26, 2018	$360M	$61.6M	16	16	2	n/a	n/a
2016	Mar 13, 2017	$270M	$61.1M	20	20	n/a	n/a	n/a
2015	Mar 9, 2016	$203M	$54.8M	20	20	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$70.9M	$360M	-80.3%	$203M	-29.6%	16	16	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
KESTRA ADVISORY SERVICES, LLC	5	May 7, 2019	Dec 16, 2019	LOUISVILLE, KY	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
LPL FINANCIAL LLC	2	Sep 7, 2016	May 1, 2014	LOUISVILLE, KY	Team lift out	Other	0.0%
LPL FINANCIAL LLC	2	Feb 3, 2016	May 7, 2014	LEXINGTON, KY	Team lift out	Other	0.0%
LPL FINANCIAL LLC	2	Dec 3, 2015	May 2, 2014	LOUISVILLE, KY	Team lift out	Other	0.0%

Relationships

Owns (4)

← FURLONG, THOMAS, PATRICKOwnerMEMBER, ownership code A, individual
Nov 25, 2013 to presentfactForm ADV
← HILL, FRANK, PHILLIPOwnerMEMBER, ownership code A, individual
Nov 25, 2013 to presentfactForm ADV
← CAMMACK, MARCIA, JOHNSONOwnerMEMBER, ownership code A, individual
Nov 25, 2013 to presentfactForm ADV
← KALLIS, JOHN, GEORGEOwnerCHIEF OPERATING OFFICER, ownership code B, individual
Nov 25, 2013 to presentfactForm ADV

Controls (3)

← MEDLEY, DIANE, BENNETTOwnerPARTNER, ownership code C, individual
Nov 25, 2013 to presentfactForm ADV
← CONNER, JAY, GORDONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 2, 2018 to presentfactForm ADV
← MERITRUST HOLDINGS LLCOwnerDOMESTIC ENTITY, ownership code D, domestic entity
Nov 25, 2013 to presentfactForm ADV

Moved with (2)

→ KESTRA ADVISORY SERVICES, LLCRegistered adviser5 advisors, firm absorbed, same day
May 7, 2019 to Dec 16, 2019factForm ADV
← LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Feb 3, 2016 to May 7, 2014factForm ADV

Registered with (7)

← THOMAS PATRICK FURLONGAdvisorregistration: previous registration
May 1, 2014 to May 7, 2019factForm ADV
← FRANK PHILLIP HILLAdvisorregistration: previous registration
Apr 30, 2014 to May 7, 2019factForm ADV
← MARCIA JOHNSON CAMMACKAdvisorregistration: previous registration
May 2, 2014 to May 7, 2019factForm ADV
← JOHN GEORGE KALLISAdvisorregistration: previous registration
May 1, 2014 to May 7, 2019factForm ADV
← JAY GORDON CONNERAdvisorregistration: previous registration
Dec 3, 2014 to May 7, 2019factForm ADV
← NATHANIEL DAVID MCNULTYAdvisorregistration: previous registration
May 2, 2014 to Mar 11, 2019factForm ADV
← BRIAN W RAMSEYAdvisorregistration: previous registration
May 7, 2014 to Jan 25, 2016factForm ADV

Dated events

Occurred
Mar 21, 2019
Regulatory AUM changed
Mwm Advisory reported RAUM $70.9M, down 80% from $359.8M (2018-10-02 to 2019-03-21)
Form ADVobserved 5 days ago
$-289M
Occurred
Aug 20, 2015
First Form ADV filing
Mwm Advisory filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:086cd60b-2c95-a414-a3cb-44083535f76a
First observed: Nov 25, 2013
Last observed: Mar 21, 2019 91 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MWM ADVISORY

MWM ADVISORY SERVICES LLC, CRD 166411

LOUISVILLE, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:086cd60b-2c95-a414-a3cb-44083535f76a

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONNER, JAY, GORDON

CHIEF COMPLIANCE OFFICER

yes

07/2018

Oct 2, 2018

Mar 21, 2019

MEDLEY, DIANE, BENNETT

Partner

yes

03/2010

Nov 25, 2013

Mar 21, 2019

MERITRUST HOLDINGS LLC

DOMESTIC ENTITY

yes

02/2010

Nov 25, 2013

Mar 21, 2019

CAMMACK, MARCIA, JOHNSON

Member

01/2009

Nov 25, 2013

Mar 21, 2019

FURLONG, THOMAS, PATRICK

Member

01/2005

Nov 25, 2013

Mar 21, 2019

HILL, FRANK, PHILLIP

Member

01/2009

Nov 25, 2013

Mar 21, 2019

KALLIS, JOHN, GEORGE

CHIEF OPERATING OFFICER

02/2010

Nov 25, 2013

Mar 21, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MERITRUST CONSULTING LLC

n/a

yes

n/a

MOUNTJOY CHILTON MEDLEY LLP

n/a

City

State

Country

Employees

Also broker-dealer

Jeffersonville

United States

Lexington

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 21, 2019

$70.9M

$62.2M

n/a

2017

Mar 26, 2018

$360M

$61.6M

n/a

2016

Mar 13, 2017

$270M

$61.1M

n/a

2015

Mar 9, 2016

$203M

$54.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$70.9M

$360M

-80.3%

$203M

-29.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

KESTRA ADVISORY SERVICES, LLC

May 7, 2019

Dec 16, 2019

LOUISVILLE, KY

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Sep 7, 2016

May 1, 2014

LOUISVILLE, KY

Team lift out

Other

0.0%

LPL FINANCIAL LLC

Feb 3, 2016

May 7, 2014

LEXINGTON, KY

Team lift out

Other

0.0%

LPL FINANCIAL LLC

Dec 3, 2015

May 2, 2014

LOUISVILLE, KY

Team lift out

Other

0.0%