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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PRIVATE WEALTH CONSULTANTS LTD

CRD 112602

TOLEDO, OH

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:1483fd7c-9d44-94b0-fb7a-fa454940f9ef

Data as of Nov 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Nov 2, 2018
24 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $247MItem 5.F on the latest filing (2018-11-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $193M
Private client RAUM: $176MderivedItem 5.D individuals plus high net worth individuals
Private client share: 71%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,725
Individual clients: 370
High net worth clients: 130
SEC number: 801-57364
CRD: 112602
Filings on the tape: 24
First filed: Jan 30, 2012
Latest filed: Nov 2, 2018
Organised: Limited Liability Company, Ohio

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
RATHBUN, GARY, LEE	CHIEF EXECUTIVE OFFICER	E	yes	08/1997	Jan 30, 2012	Nov 2, 2018
Afzal, Shams	CHIEF COMPLIANCE OFFICER	Na	no	01/2015	Jan 30, 2015	Nov 2, 2018
MILLER, DOUGLAS, SCOTT	President	Na	no	09/2009	Jan 30, 2012	Nov 2, 2018

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
DOUGLAS S. MILLER	n/a	n/a	n/a	N	no	n/a
GARY L. RATHBUN	n/a	n/a	n/a	N	no	n/a

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
2017	Mar 30, 2018	$247M	$193M	10	2	0	n/a	n/a
2016	Mar 8, 2017	$214M	$163M	10	2	n/a	n/a	n/a
2015	Mar 9, 2016	$191M	$136M	10	2	n/a	n/a	n/a
2014	Mar 20, 2015	$181M	$132M	10	2	n/a	n/a	n/a
2013	Mar 20, 2014	$167M	$114M	11	3	n/a	n/a	n/a
2012	Mar 12, 2013	$144M	$92.5M	11	3	n/a	n/a	n/a
2011	Jan 30, 2012	$116M	$67.2M	n/a	n/a	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
2017	$247M	$214M	15.6%	$181M	10.9%	10	10	0	n/a

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
CARNEGIE INVESTMENT COUNSEL	2	Oct 31, 2018	Sep 4, 2018	TOLEDO, OH	Team lift out	Other	100.0%

Relationships

Controls (1)

← RATHBUN, GARY, LEEOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Jan 30, 2012 to presentfactForm ADV

Owns (2)

← MILLER, DOUGLAS, SCOTTOwnerPRESIDENT, ownership code NA, individual
Jan 30, 2012 to presentfactForm ADV
← Afzal, ShamsOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 30, 2015 to presentfactForm ADV

Registered with (2)

← CHRISTOPHER ALLEN HENRYAdvisorregistration: previous registration
Mar 9, 2018 to Oct 31, 2018factForm ADV
← Shams AfzalAdvisorregistration: previous registration
Sep 25, 2017 to Oct 31, 2018factForm ADV

Moved with (1)

→ CARNEGIE INVESTMENT COUNSELRegistered adviser2 advisors, team lift out, same day
Oct 31, 2018 to Sep 4, 2018factForm ADV

Dated events

Occurred
Oct 31, 2018
Regulatory AUM changed
Private Wealth Consultants Ltd reported RAUM $0, down 100% from $246.8M (2018-08-07 to 2018-10-31)
Form ADVobserved 4 days ago
$-247M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1483fd7c-9d44-94b0-fb7a-fa454940f9ef
First observed: Jan 30, 2012
Last observed: Nov 2, 2018 95 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.

PRIVATE WEALTH CONSULTANTS LTD

CRD 112602

TOLEDO, OH

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:1483fd7c-9d44-94b0-fb7a-fa454940f9ef

Data as of Nov 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:51 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RATHBUN, GARY, LEE

CHIEF EXECUTIVE OFFICER

yes

08/1997

Jan 30, 2012

Nov 2, 2018

Afzal, Shams

CHIEF COMPLIANCE OFFICER

01/2015

Jan 30, 2015

Nov 2, 2018

MILLER, DOUGLAS, SCOTT

President

09/2009

Jan 30, 2012

Nov 2, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DOUGLAS S. MILLER

n/a

GARY L. RATHBUN

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 30, 2018

$247M

$193M

n/a

2016

Mar 8, 2017

$214M

$163M

n/a

2015

Mar 9, 2016

$191M

$136M

n/a

2014

Mar 20, 2015

$181M

$132M

n/a

2013

Mar 20, 2014

$167M

$114M

n/a

2012

Mar 12, 2013

$144M

$92.5M

n/a

2011

Jan 30, 2012

$116M

$67.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$247M

$214M

15.6%

$181M

10.9%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARNEGIE INVESTMENT COUNSEL

Oct 31, 2018

Sep 4, 2018

TOLEDO, OH

Team lift out

Other

100.0%