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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

AWM SERVICES, INC.

CRD 6439

HOUSTON, TX

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:3ed0e601-ec1b-e56d-0b59-4b67d80fe46a

Data as of Mar 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Feb 21, 2012 to Mar 8, 2012
2 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Advisory employees: 0
SEC number: 801-61424
CRD: 6439
Filings on the tape: 2
First filed: Feb 21, 2012
Latest filed: Mar 8, 2012
Organised: Corporation, Texas

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
ANDERS, LARRY KEITH	Member	D	yes	09/2000	Feb 21, 2012	Mar 8, 2012
GILL CAPITAL MANAGEMENT, INC.	Member	C	yes	10/2001	Feb 21, 2012	Mar 8, 2012
GILL, DOUGLAS WAYNE	Shareholder	E	yes	06/1999	Feb 21, 2012	Mar 8, 2012
HALL, STAN RUSSELL	PRESIDENT/DIRECTOR	Na	yes	08/2011	Feb 21, 2012	Mar 8, 2012
LEE, JAMES HARVEY	CHIEF COMPLIANCE OFFICER	Na	yes	08/2011	Mar 8, 2012	Mar 8, 2012
LESTER, GINA	Partner	C	yes	06/2001	Feb 21, 2012	Mar 8, 2012
LESTER, MICHAEL EDWARD	Partner	C	yes	06/2001	Feb 21, 2012	Mar 8, 2012
LESTER, MICHAEL EDWARD	Member	E	yes	06/2001	Feb 21, 2012	Mar 8, 2012
NORTH TIMBER CAPITAL, LC	GENERAL PARTNER	F	yes	06/2001	Feb 21, 2012	Mar 8, 2012
SUMMITALLIANCE CAPITAL, LLC	Member	E	yes	10/2001	Feb 21, 2012	Mar 8, 2012
SUMMITALLIANCE INVESTMENT GROUP, L.L.C.	Shareholder	E	yes	10/2006	Feb 21, 2012	Mar 8, 2012
TIMBER RIDGE PARTNERS, LP	Member	C	yes	06/2001	Feb 21, 2012	Mar 8, 2012
LEGAYE, DANIEL EUGENE SR	Finop	Na	no	10/2011	Mar 8, 2012	Mar 8, 2012

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
SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.	n/a	Former SEC adviser	$2.0B	N	yes	n/a
ASCENDANT ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a
SUMMITALLIANCE SECURITIES, L.L.C.	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
2011	Mar 8, 2012	n/a	n/a	n/a	0	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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

← ASCENDANT ADVISORS, LLCRegistered adviserbroker-dealer, common control
factForm ADV
→ SUMMIT ADVISOR SOLUTIONSRegistered adviserother investment adviser, common control
factForm ADV

Owns (1)

← LEGAYE, DANIEL EUGENE SROwnerFINOP, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV

Controls (11)

← LESTER, MICHAEL EDWARDOwnerMEMBER, ownership code E, individual
Feb 21, 2012 to presentfactForm ADV
← ANDERS, LARRY KEITHOwnerMEMBER, ownership code D, individual
Feb 21, 2012 to presentfactForm ADV
← LEE, JAMES HARVEYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 8, 2012 to presentfactForm ADV
← GILL, DOUGLAS WAYNEOwnerSHAREHOLDER, ownership code E, individual
Feb 21, 2012 to presentfactForm ADV
← HALL, STAN RUSSELLOwnerPRESIDENT/DIRECTOR, ownership code NA, individual
Feb 21, 2012 to presentfactForm ADV
← LESTER, GINAOwnerPARTNER, ownership code C, individual
Feb 21, 2012 to presentfactForm ADV
← GILL CAPITAL MANAGEMENT, INC.OwnerMEMBER, ownership code C, domestic entity
Feb 21, 2012 to presentfactForm ADV
← NORTH TIMBER CAPITAL, LCOwnerGENERAL PARTNER, ownership code F, domestic entity
Feb 21, 2012 to presentfactForm ADV
← SUMMITALLIANCE CAPITAL, LLCOwnerMEMBER, ownership code E, domestic entity
Feb 21, 2012 to presentfactForm ADV
← SUMMITALLIANCE INVESTMENT GROUP, L.L.C.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 21, 2012 to presentfactForm ADV
← TIMBER RIDGE PARTNERS, LPOwnerMEMBER, ownership code C, domestic entity
Feb 21, 2012 to presentfactForm ADV

Registered with (3)

← STAN RUSSELL HALLAdvisorregistration: previous registration
Jun 24, 2009 to Jun 5, 2012factForm ADV
← WILLIAM RANEY SACHSAdvisorregistration: previous registration
Jul 6, 2006 to Dec 31, 2008factForm ADV
← CRAIG LAWRENCE CAUDLEAdvisorregistration: previous registration
Sep 24, 2004 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ed0e601-ec1b-e56d-0b59-4b67d80fe46a
First observed: Feb 21, 2012
Last observed: Mar 8, 2012 176 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.

AWM SERVICES, INC.

CRD 6439

HOUSTON, TX

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:3ed0e601-ec1b-e56d-0b59-4b67d80fe46a

Data as of Mar 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANDERS, LARRY KEITH

Member

yes

09/2000

Feb 21, 2012

Mar 8, 2012

GILL CAPITAL MANAGEMENT, INC.

Member

yes

10/2001

Feb 21, 2012

Mar 8, 2012

GILL, DOUGLAS WAYNE

Shareholder

yes

06/1999

Feb 21, 2012

Mar 8, 2012

HALL, STAN RUSSELL

PRESIDENT/DIRECTOR

yes

08/2011

Feb 21, 2012

Mar 8, 2012

LEE, JAMES HARVEY

CHIEF COMPLIANCE OFFICER

yes

08/2011

Mar 8, 2012

LESTER, GINA

Partner

yes

06/2001

Feb 21, 2012

Mar 8, 2012

LESTER, MICHAEL EDWARD

Partner

yes

06/2001

Feb 21, 2012

Mar 8, 2012

LESTER, MICHAEL EDWARD

Member

yes

06/2001

Feb 21, 2012

Mar 8, 2012

NORTH TIMBER CAPITAL, LC

GENERAL PARTNER

yes

06/2001

Feb 21, 2012

Mar 8, 2012

SUMMITALLIANCE CAPITAL, LLC

Member

yes

10/2001

Feb 21, 2012

Mar 8, 2012

SUMMITALLIANCE INVESTMENT GROUP, L.L.C.

Shareholder

yes

10/2006

Feb 21, 2012

Mar 8, 2012

TIMBER RIDGE PARTNERS, LP

Member

yes

06/2001

Feb 21, 2012

Mar 8, 2012

LEGAYE, DANIEL EUGENE SR

Finop

10/2011

Mar 8, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.

n/a

Former SEC adviser

$2.0B

yes

n/a

ASCENDANT ADVISORS, LLC

n/a

yes

n/a

SUMMITALLIANCE SECURITIES, L.L.C.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 8, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

n/a