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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SIMPLIFIED WEALTH MANAGEMENT

SIMPLIFIED WEALTH MANAGEMENT, LLC, CRD 297059

HATTIESBURG, MS

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:2673132b-e2ac-b90f-f1f5-b650a7af7726

Data as of Feb 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Mar 21, 2022 to Feb 16, 2026
9 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $226MItem 5.F on the latest filing (2026-02-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $226M
Private client RAUM: $220MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $32.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,642
Individual clients: 616
High net worth clients: 91
Custody, client assets: $49.9M
SEC number: 801-123772
CRD: 297059
Filings on the tape: 9
First filed: Mar 21, 2022
Latest filed: Feb 16, 2026
Organised: Limited Liability Company, MS
Website: myswm.com

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
THOMAS ANDREW RICKS	n/a	HATTIESBURG, MS	8	11	2	no
KEVIN ANDREW MCCORMICK	n/a	HATTIESBURG, MS	8	18	2	no
James Floyd Garraway	n/a	HATTIESBURG, MS	4	12	n/a	no
JAMES RAY CARPENTER	n/a	HATTIESBURG, MS	1	24	1	no
AHMED KAMAL ABOUZAID	n/a	HATTIESBURG, MS	1	11	n/a	no
KALI NEVAEH PLUNKET	n/a	HATTIESBURG, MS	0	10	n/a	no
MARK DOUGLAS CREEL	n/a	HATTIESBURG, MS	0	34	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
MCCORMICK, KEVIN, ANDREW	MANAGING PRINCIPAL / CCO	E	yes	06/2018	Mar 21, 2022	Feb 22, 2024

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
JAMES RAY CARPENTER III	n/a	n/a	n/a	N	yes	n/a
KEVIN MCCORMICK	n/a	n/a	n/a	N	yes	n/a
PAUL ROLLER	n/a	n/a	n/a	N	yes	n/a
THOMAS ANDREW RICKS	n/a	n/a	n/a	N	yes	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
2025	Feb 16, 2026	$226M	$226M	9	7	0	n/a	n/a
2024	Jan 23, 2025	$179M	$179M	7	5	0	n/a	n/a
2023	Feb 22, 2024	$156M	$156M	7	5	0	n/a	n/a
2022	Mar 22, 2023	$121M	$121M	6	5	1	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
1	0	1	0.0%	0	0	0	2	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
2025	$226M	$179M	25.7%	$121M	23.1%	9	7	0	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	Jul 27, 2018	Aug 2, 2018	PURVIS, MS	Team lift out	RIA to RIA	0.0%

Relationships

Registered with (8)

← MARK DOUGLAS CREELAdvisorregistration: current employment
Oct 30, 2025 to presentfactForm ADV
← KALI NEVAEH PLUNKETAdvisorregistration: current employment
Oct 27, 2025 to presentfactForm ADV
← AHMED KAMAL ABOUZAIDAdvisorregistration: current employment
Sep 16, 2025 to presentfactForm ADV
← JAMES RAY CARPENTERAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← James Floyd GarrawayAdvisorregistration: current employment
Feb 16, 2022 to presentfactForm ADV
← KEVIN ANDREW MCCORMICKAdvisorregistration: current employment
Aug 2, 2018 to presentfactForm ADV
← THOMAS ANDREW RICKSAdvisorregistration: current employment
Jul 30, 2018 to presentfactForm ADV
← PAUL DOUGLAS ROLLERAdvisorregistration: previous registration
Apr 20, 2021 to Feb 28, 2023factForm ADV

Controls (1)

← MCCORMICK, KEVIN, ANDREWOwnerMANAGING PRINCIPAL / CCO, ownership code E, individual
Mar 21, 2022 to Feb 22, 2024factForm ADV

Moved with (1)

← LPL FINANCIAL LLCRegistered adviser2 advisors, team lift out
Jul 27, 2018 to Aug 2, 2018factForm ADV

Dated events

Occurred
Feb 28, 2023
Advisor changed firm
Paul Douglas Roller left Simplified Wealth Management for Woodbury Financial Services, Inc. (registered 2023-06-06)
Form ADVobserved 6 days ago
Occurred
Mar 21, 2022
First Form ADV filing
Simplified Wealth Management filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2673132b-e2ac-b90f-f1f5-b650a7af7726
First observed: Mar 21, 2022
Last observed: Feb 16, 2026 7 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.

SIMPLIFIED WEALTH MANAGEMENT

SIMPLIFIED WEALTH MANAGEMENT, LLC, CRD 297059

HATTIESBURG, MS

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:2673132b-e2ac-b90f-f1f5-b650a7af7726

Data as of Feb 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

THOMAS ANDREW RICKS

n/a

HATTIESBURG, MS

KEVIN ANDREW MCCORMICK

n/a

HATTIESBURG, MS

James Floyd Garraway

n/a

HATTIESBURG, MS

n/a

JAMES RAY CARPENTER

n/a

HATTIESBURG, MS

AHMED KAMAL ABOUZAID

n/a

HATTIESBURG, MS

n/a

KALI NEVAEH PLUNKET

n/a

HATTIESBURG, MS

n/a

MARK DOUGLAS CREEL

n/a

HATTIESBURG, MS

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MCCORMICK, KEVIN, ANDREW

MANAGING PRINCIPAL / CCO

yes

06/2018

Mar 21, 2022

Feb 22, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAMES RAY CARPENTER III

n/a

yes

n/a

KEVIN MCCORMICK

n/a

yes

n/a

PAUL ROLLER

n/a

yes

n/a

THOMAS ANDREW RICKS

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 16, 2026

$226M

n/a

2024

Jan 23, 2025

$179M

n/a

2023

Feb 22, 2024

$156M

n/a

2022

Mar 22, 2023

$121M

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

2025

$226M

$179M

25.7%

$121M

23.1%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

LPL FINANCIAL LLC

Jul 27, 2018

Aug 2, 2018

PURVIS, MS

Team lift out

RIA to RIA

0.0%