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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

ASSET PRESERVATION WEALTH & TAX

ASSET PRESERVATION TAX & RETIREMENT, L.L.C., CRD 322078

SURPRISE, 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:548979d3-4815-d8f2-1e89-2c833bd1c9c1

Data as of Jun 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Jun 30, 2022 to Jun 30, 2022
1 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: $0Item 5.F on the latest filing (2022-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 13
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
Custody, client assets: $0
SEC number: 801-126294
CRD: 322078
Filings on the tape: 1
First filed: Jun 30, 2022
Latest filed: Jun 30, 2022
Organised: Limited Liability Company, Arizona

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
RICE, BRYON, NMN	MANAGING MEMBER	D	yes	12/2021	Jun 30, 2022	Jun 30, 2022
Willis, Stewart, A	MANAGING MEMBER/CCO	D	yes	07/2018	Jun 30, 2022	Jun 30, 2022

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
FOUNDATIONS INVESTMENT ADVISORS LLC	n/a	Independent wealth	$10B	N	yes	n/a
MAGELLAN FINANCIAL & INSURANCE SERVICES INC.	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (2)

← RICE, BRYON, NMNOwnerMANAGING MEMBER, ownership code D, individual
Jun 30, 2022 to presentfactForm ADV
← Willis, Stewart, AOwnerMANAGING MEMBER/CCO, ownership code D, individual
Jun 30, 2022 to presentfactForm ADV

Registered with (4)

← ERNEST ANTHONY BAILLARGEONAdvisorregistration: previous registration
Aug 4, 2022 to Aug 19, 2022factForm ADV
← Daniel Richard MurphyAdvisorregistration: previous registration
Aug 4, 2022 to Aug 19, 2022factForm ADV
← ERICK ALAN JIMENEZAdvisorregistration: previous registration
Aug 4, 2022 to Aug 19, 2022factForm ADV
← Stewart A WillisAdvisorregistration: previous registration
Aug 3, 2022 to Aug 19, 2022factForm ADV

Dated events

Occurred
Aug 19, 2022
Advisor departed, no destination yet
Ernest Anthony Baillargeon no longer registered at Asset Preservation Wealth & Tax; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Aug 19, 2022
Advisor departed, no destination yet
Stewart A Willis no longer registered at Asset Preservation Wealth & Tax; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Aug 19, 2022
Advisor departed, no destination yet
Daniel Richard Murphy no longer registered at Asset Preservation Wealth & Tax; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Aug 19, 2022
Advisor departed, no destination yet
Erick Alan Jimenez no longer registered at Asset Preservation Wealth & Tax; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Jun 30, 2022
First Form ADV filing
Asset Preservation Wealth & Tax filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:548979d3-4815-d8f2-1e89-2c833bd1c9c1
First observed: Jun 30, 2022
Last observed: Jun 30, 2022 51 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.

ASSET PRESERVATION WEALTH & TAX

ASSET PRESERVATION TAX & RETIREMENT, L.L.C., CRD 322078

SURPRISE, 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:548979d3-4815-d8f2-1e89-2c833bd1c9c1

Data as of Jun 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:38 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

RICE, BRYON, NMN

MANAGING MEMBER

yes

12/2021

Jun 30, 2022

Willis, Stewart, A

MANAGING MEMBER/CCO

yes

07/2018

Jun 30, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FOUNDATIONS INVESTMENT ADVISORS LLC

n/a

Independent wealth

$10B

yes

n/a

MAGELLAN FINANCIAL & INSURANCE SERVICES INC.

n/a

yes

n/a