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CRD 316024
LAKEWAY, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| KEITH WILLIAM WEINMAN | n/a | Loveland, CO | LAKEWAY, TX | 5 | 15 | 1 | no |
| SCOTT CHRISTOPHER WINTERS | n/a | LAKEWAY, TX | The Hills, TX | 5 | 23 | 2 | no |
| JOHN DAVID POLLOCK | n/a | LAKEWAY, TX | 5 | 29 | 2 | no |
| Timothy Scott Terry | n/a | Tomball, TX | LAKEWAY, TX | 5 | 11 | 1 | no |
| Erling Bert Brakke | Chartered Financial Analyst | Conroe, TX | LAKEWAY, TX | 5 | 22 | 2 | no |
| Dean R. Specker | n/a | Warrensburg, MO | LAKEWAY, TX | 5 | 15 | 3 | no |
| William Raymond Perlette | n/a | LAKEWAY, TX | Temecula, CA | 5 | 16 | 1 | no |
| ASHLEY CHRISTINE WINTERS | n/a | LAKEWAY, TX | Frisco, TX | 5 | 11 | 1 | no |
| Jill Ann Henderson | n/a | LAKEWAY, TX | Newberry Park, CA | 5 | 29 | 4 | no |
| Shelley Renae Johnson | n/a | Carmel, IN | LAKEWAY, TX | 5 | 26 | 1 | no |
| Karen Cassidy | n/a | Arroyo Grande, CA | LAKEWAY, TX | 5 | 12 | n/a | no |
| PHILIP J KEHOE | n/a | KALAMAZOO, MI | Kalamazoo, MI | LAKEWAY, TX | 5 | 16 | 2 | yes |
| JOHN LINTON AVERY | n/a | Highlands Ranch, CO | LAKEWAY, TX | 4 | 42 | 1 | no |
| DANIEL WADE DUBOSE | n/a | Houston, TX | LAKEWAY, TX | 4 | 26 | 2 | no |
| Christian Brakke | n/a | New Orleans, LA | LAKEWAY, TX | 4 | 11 | n/a | no |
| LORNE HOWARD LEVY | n/a | LAKEWAY, TX | Highlands Ranch, CO | 4 | 23 | 1 | no |
| THOMAS RYAN WILLIAMS | n/a | Rochester, MI | LAKEWAY, TX | 4 | 13 | 2 | no |
| Charles Jay Love | n/a | LAKEWAY, TX | North Richland Hills, TX | 4 | 12 | 1 | no |
| KIMBERLY PERRY | n/a | LAKEWAY, TX | Newark, CA | 3 | 25 | 2 | no |
| MARC DAVID OROURKE | n/a | Novato, CA | LAKEWAY, TX | 3 | 27 | 11 | no |
| Michael Burton Smith | n/a | Seymour, TN | LAKEWAY, TX | 3 | 26 | n/a | no |
| Brian Lang | n/a | LAKEWAY, TX | Austin, TX | 3 | 13 | 1 | no |
| STEVEN PHILLIP MARGULIN | Certified Financial Planner|Chartered Financial Consultant|Personal Financial Specialist | LAKEWAY, TX | Highlands Ranch, CO | 3 | 37 | 5 | no |
| Marc Richard Barnes | n/a | Tucson, AZ | LAKEWAY, TX | 3 | 16 | n/a | no |
| JOHN ERIC WALTERS | n/a | St. Petersburg, FL | LAKEWAY, TX | 3 | 25 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| FINANCIAL GRAVITY COMPANIES, INC. | Owner | E | yes | 06/2020 | Aug 5, 2021 | Dec 20, 2024 |
| NELSON, WILLIAM, ROBERT | Member | F | yes | 08/2020 | Aug 5, 2021 | Dec 20, 2024 |
| NEMER, GARY, JOEL | Member | F | yes | 08/2020 | Aug 5, 2021 | Dec 20, 2024 |
| POLLOCK, JOHN, DAVID | Member | F | yes | 10/2019 | Aug 5, 2021 | Dec 20, 2024 |
| Winters, Jennifer | Coo | Na | yes | 08/2021 | Mar 23, 2023 | Dec 20, 2024 |
| WINTERS, SCOTT, CHRISTOPHER | MANAGING MEMBER | F | yes | 08/2020 | Aug 5, 2021 | Dec 20, 2024 |
| WINTERS, SCOTT, CHRISTOPHER | CEO/CHAIRMAN OF THE BOARD | Na | yes | 08/2021 | Aug 5, 2021 | Dec 20, 2024 |
| Baucum, Ashley | CHIEF ADMINISTRATIVE OFFICER | Na | no | 04/2024 | Apr 22, 2024 | Dec 20, 2024 |
| Winters, Kaili, Erin | CHIEF COMPLIANCE OFFICER | Na | no | 04/2024 | Aug 5, 2021 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FINANCIAL GRAVITY ASSET MANAGEMENT, INC. | n/a | n/a | n/a | N | yes | n/a |
| FINANCIAL GRAVITY ENHANCED MARKETS, LLC | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Woodstock | Ga | United States | 1 | no |
| Fargo | Nd | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Jan 12, 2026 | $590M | $590M | 45 | 16 | 2 | n/a | n/a |
| 2024 | Dec 20, 2024 | $467M | $467M | 45 | 16 | 2 | n/a | n/a |
| 2023 | Dec 8, 2023 | $365M | $263M | 45 | 16 | 1 | n/a | n/a |
| 2022 | Dec 8, 2022 | $211M | $28.6M | 47 | 17 | 0 | n/a | n/a |
| 2021 | Dec 20, 2021 | $171M | $171M | 50 | 20 | 1 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 2 | -2 | 5.0% | 0 | 0 | 0 | 10 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $590M | $467M | 26.4% | $211M | 40.9% | 45 | 45 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| FORTA FINANCIAL GROUP, INC. | 3 | Oct 4, 2021 | Jan 4, 2023 | TEMECULA, CA | Channel change | RIA to new firm | 15.0% |
| FORTA FINANCIAL GROUP, INC. | 7 | Oct 4, 2021 | Feb 3, 2025 | GREENWOOD VILLAGE, CO | Channel change | RIA to new firm | 35.0% |
| FORTA FINANCIAL GROUP, INC. | 9 | Sep 21, 2021 | Feb 10, 2022 | AUSTIN, TX | Channel change | RIA to new firm | 42.9% |