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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LEPHEW FINANCIAL SERVICES, INC.

CRD 133826

ROCK HILL, SC

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:5e319f00-5fe9-ad4c-2b27-c4c0c6c84dd9

Data as of Mar 6, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Mar 6, 2019
13 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: $205MItem 5.F on the latest filing (2019-03-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $205M
Private client RAUM: $205MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 691
Individual clients: 127
High net worth clients: 88
Custody, client assets: $141M
SEC number: 801-63822
CRD: 133826
Filings on the tape: 13
First filed: Mar 16, 2012
Latest filed: Mar 6, 2019
Organised: Corporation, South Carolina

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
LEPHEW, MARSHA, GARVIN	President	E	yes	06/1999	Mar 16, 2012	Mar 6, 2019
YOUNG, PAULEEN, M	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	04/2010	Mar 16, 2012	Mar 6, 2019

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
MARSHA LEPHEW	n/a	n/a	n/a	Y	yes	n/a
MICHELLE L. GUISSINGER	n/a	n/a	n/a	Y	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
2018	Mar 6, 2019	$205M	$205M	7	7	0	n/a	n/a
2017	Mar 2, 2018	$212M	$212M	7	7	0	n/a	n/a
2016	Feb 15, 2017	$178M	$178M	7	7	n/a	n/a	n/a
2015	Feb 24, 2016	$156M	$156M	6	5	n/a	n/a	n/a
2014	Jan 30, 2015	$166M	$166M	4	3	n/a	n/a	n/a
2013	Mar 27, 2014	$154M	$154M	4	3	n/a	n/a	n/a
2012	Mar 22, 2013	$117M	$117M	4	3	n/a	n/a	n/a
2011	Mar 16, 2012	$90.1M	$90.1M	n/a	n/a	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
2018	$205M	$212M	-2.9%	$156M	9.6%	7	7	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CARROLL FINANCIAL ASSOCIATES INC	2	Jun 18, 2019	Jun 21, 2019	ROCK HILL, SC	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← LEPHEW, MARSHA, GARVINOwnerPRESIDENT, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV
← YOUNG, PAULEEN, MOwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 16, 2012 to presentfactForm ADV

Moved with (1)

→ CARROLL FINANCIAL ASSOCIATES INCRegistered adviser2 advisors, team lift out, same day
Jun 18, 2019 to Jun 21, 2019factForm ADV

Registered with (2)

← Michelle Leigh GuissingerAdvisorregistration: previous registration
Jul 12, 2012 to Jun 18, 2019factForm ADV
← Sarah L LePhewAdvisorregistration: previous registration
Oct 23, 2013 to Jun 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e319f00-5fe9-ad4c-2b27-c4c0c6c84dd9
First observed: Mar 16, 2012
Last observed: Mar 6, 2019 91 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.

LEPHEW FINANCIAL SERVICES, INC.

CRD 133826

ROCK HILL, SC

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:5e319f00-5fe9-ad4c-2b27-c4c0c6c84dd9

Data as of Mar 6, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:53 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LEPHEW, MARSHA, GARVIN

President

yes

06/1999

Mar 16, 2012

Mar 6, 2019

YOUNG, PAULEEN, M

CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER

yes

04/2010

Mar 16, 2012

Mar 6, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MARSHA LEPHEW

n/a

yes

n/a

MICHELLE L. GUISSINGER

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 6, 2019

$205M

n/a

2017

Mar 2, 2018

$212M

n/a

2016

Feb 15, 2017

$178M

n/a

2015

Feb 24, 2016

$156M

n/a

2014

Jan 30, 2015

$166M

n/a

2013

Mar 27, 2014

$154M

n/a

2012

Mar 22, 2013

$117M

n/a

2011

Mar 16, 2012

$90.1M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$205M

$212M

-2.9%

$156M

9.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CARROLL FINANCIAL ASSOCIATES INC

Jun 18, 2019

Jun 21, 2019

ROCK HILL, SC

Team lift out

RIA to RIA

100.0%