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

CAMBRIDGE WEALTH COUNSEL

SOUTHERN WEALTH MANAGEMENT, INC, CRD 127349

ATLANTA, GA

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:79e0c569-535b-4f38-71ee-d2043b700c0f

Data as of Sep 1, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Dec 9, 2013 to Sep 1, 2016
8 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: $238MItem 5.F on the latest filing (2016-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $204M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Accounts: 993
SEC number: 801-78948
CRD: 127349
Filings on the tape: 8
First filed: Dec 9, 2013
Latest filed: Sep 1, 2016
Organised: Corporation, Georgia

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
HOCKETT, ROBERT, SPENCER	President	E	yes	06/1999	Dec 9, 2013	Sep 1, 2016
KAPLAN, BARRY, HOWARD	Shareholder	C	yes	03/2016	Jun 22, 2016	Sep 1, 2016
MAHONEY, NEIL, VON	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	Na	yes	08/2008	Dec 9, 2013	Sep 1, 2016

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
ABW ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Stockbridge	Ga	United States	n/a	no
SOUTH JORDAN	Ut	United States	n/a	no

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
2015	Feb 16, 2016	$238M	$204M	5	3	n/a	n/a	n/a
2014	Mar 31, 2015	$244M	$244M	3	3	n/a	n/a	n/a
2013	Mar 31, 2014	$206M	$0	3	3	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
2015	$238M	$244M	-2.4%	n/a	n/a	5	3	n/a	n/a

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
MODERA WEALTH MANAGEMENT, LLC	3	Feb 28, 2017	Jan 5, 2017	ATLANTA, GA	Firm absorbed	Other	100.0%

Relationships

Controls (3)

← HOCKETT, ROBERT, SPENCEROwnerPRESIDENT, ownership code E, individual
Dec 9, 2013 to presentfactForm ADV
← MAHONEY, NEIL, VONOwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code NA, individual
Dec 9, 2013 to presentfactForm ADV
← KAPLAN, BARRY, HOWARDOwnerSHAREHOLDER, ownership code C, individual
Jun 22, 2016 to presentfactForm ADV

Registered with (5)

← BRANDY KILGORE WRIGHTAdvisorregistration: previous registration
Aug 3, 2010 to Feb 28, 2017factForm ADV
← ROBERT SPENCER HOCKETTAdvisorregistration: previous registration
Sep 30, 2006 to Feb 28, 2017factForm ADV
← BARRY HOWARD KAPLANAdvisorregistration: previous registration
Sep 30, 2006 to Feb 28, 2017factForm ADV
← MARC ANTHONY JIMENEZAdvisorregistration: previous registration
Sep 21, 2012 to Jun 18, 2013factForm ADV
← NEIL VON MAHONEYAdvisorregistration: previous registration
Nov 30, 2007 to Oct 31, 2012factForm ADV

Moved with (1)

→ MODERA WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Feb 28, 2017 to Jan 5, 2017factForm ADV

Dated events

Occurred
Dec 9, 2013
First Form ADV filing
Cambridge Wealth Counsel filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79e0c569-535b-4f38-71ee-d2043b700c0f
First observed: Dec 9, 2013
Last observed: Sep 1, 2016 122 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.

CAMBRIDGE WEALTH COUNSEL

SOUTHERN WEALTH MANAGEMENT, INC, CRD 127349

ATLANTA, GA

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:79e0c569-535b-4f38-71ee-d2043b700c0f

Data as of Sep 1, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:43 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOCKETT, ROBERT, SPENCER

President

yes

06/1999

Dec 9, 2013

Sep 1, 2016

KAPLAN, BARRY, HOWARD

Shareholder

yes

03/2016

Jun 22, 2016

Sep 1, 2016

MAHONEY, NEIL, VON

CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER

yes

08/2008

Dec 9, 2013

Sep 1, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ABW ADVISORS, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Stockbridge

United States

n/a

SOUTH JORDAN

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Feb 16, 2016

$238M

$204M

n/a

2014

Mar 31, 2015

$244M

n/a

2013

Mar 31, 2014

$206M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$238M

$244M

-2.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MODERA WEALTH MANAGEMENT, LLC

Feb 28, 2017

Jan 5, 2017

ATLANTA, GA

Firm absorbed

Other

100.0%