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

FULLER ASSET MANAGEMENT, LLC

CRD 134446

SCOTTSDALE, AZ

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Search this name across graphsid dfx:ria:1e9d1225-1a31-a8e7-0b8f-e82a3764d209

Data as of Jun 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 14, 2011 to Jun 13, 2012
4 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: $23.1MItem 5.F on the latest filing (2012-06-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $23.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 216
SEC number: 801-66451
CRD: 134446
Filings on the tape: 4
First filed: Dec 14, 2011
Latest filed: Jun 13, 2012
Organised: Limited Liability Company, Arizona

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LAWRENCE ROBERT FULLER II	n/a	SCOTTSDALE, AZ	21	33	3	no

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
FULLER II, LAWRENCE, ROBERT	MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER	C	yes	04/2005	Dec 14, 2011	Jun 13, 2012
FULLER, JAMES, FLETCHER	MANAGING MEMBER	C	yes	04/2009	Dec 14, 2011	Jun 13, 2012
FULLER, LAWRENCE, ROBERT	MANAGING MEMBER	C	yes	04/2006	Dec 14, 2011	Jun 13, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	n/a	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
2011	Mar 28, 2012	$23.1M	$4.7M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2011	$23.1M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (3)

← FULLER II, LAWRENCE, ROBERTOwnerMANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER, ownership code C, individual
Dec 14, 2011 to presentfactForm ADV
← FULLER, JAMES, FLETCHEROwnerMANAGING MEMBER, ownership code C, individual
Dec 14, 2011 to presentfactForm ADV
← FULLER, LAWRENCE, ROBERTOwnerMANAGING MEMBER, ownership code C, individual
Dec 14, 2011 to presentfactForm ADV

Registered with (3)

← LAWRENCE ROBERT FULLER IIAdvisorregistration: current employment
Apr 18, 2005 to presentfactForm ADV
← KEVIN MICHAEL MULLANEYAdvisorregistration: previous registration
Jun 22, 2005 to Dec 15, 2010factForm ADV
← MARION ANTHONY JABCZENSKIAdvisorregistration: previous registration
Jun 9, 2005 to Jun 28, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1e9d1225-1a31-a8e7-0b8f-e82a3764d209
First observed: Dec 14, 2011
Last observed: Jun 13, 2012 173 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.

FULLER ASSET MANAGEMENT, LLC

CRD 134446

SCOTTSDALE, AZ

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:1e9d1225-1a31-a8e7-0b8f-e82a3764d209

Data as of Jun 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:35 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LAWRENCE ROBERT FULLER II

n/a

SCOTTSDALE, AZ

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FULLER II, LAWRENCE, ROBERT

MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER

yes

04/2005

Dec 14, 2011

Jun 13, 2012

FULLER, JAMES, FLETCHER

MANAGING MEMBER

yes

04/2009

Dec 14, 2011

Jun 13, 2012

FULLER, LAWRENCE, ROBERT

MANAGING MEMBER

yes

04/2006

Dec 14, 2011

Jun 13, 2012

City

State

Country

Employees

Also broker-dealer

Charlotte

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$23.1M

$4.7M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$23.1M

n/a