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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

DIRECT 401K

DIRECT 401K, LLC, CRD 173939

MIRAMAR BEACH, FL

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:7f679cf1-0158-9be7-64eb-1b07910421b2

Data as of Mar 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 5, 2015 to Mar 15, 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
SEC number: 801-80841
CRD: 173939
Filings on the tape: 8
First filed: Jan 5, 2015
Latest filed: Mar 15, 2016
Organised: Limited Liability Company, Florida

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
MORTON, CLAIBORNE, BARKSDALE	PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	09/2014	Jan 5, 2015	Mar 15, 2016
Olivarez, Jill, Laurie	DIRECTOR OF OPERATIONS	A	yes	10/2015	Oct 22, 2015	Mar 15, 2016
TEAM SCM ADVISORS, INC.	MANAGING MEMBER	D	yes	09/2014	Jan 5, 2015	Mar 15, 2016
TEAM SCM ADVISORS, INC.	MANAGING MEMBER	E	yes	09/2014	Jan 5, 2015	Mar 15, 2016

Offices

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

City	State	Country	Employees	Also broker-dealer
PALO ALTO	CA	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	Mar 15, 2016	n/a	n/a	3	2	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	n/a	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Controls (3)

← MORTON, CLAIBORNE, BARKSDALEOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 5, 2015 to presentfactForm ADV
← Olivarez, Jill, LaurieOwnerDIRECTOR OF OPERATIONS, ownership code A, individual
Oct 22, 2015 to presentfactForm ADV
← TEAM SCM ADVISORS, INC.OwnerMANAGING MEMBER, ownership code D, domestic entity
Jan 5, 2015 to presentfactForm ADV

Dated events

Occurred
Jan 5, 2015
First Form ADV filing
Direct 401K filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f679cf1-0158-9be7-64eb-1b07910421b2
First observed: Jan 5, 2015
Last observed: Mar 15, 2016 128 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.

DIRECT 401K

DIRECT 401K, LLC, CRD 173939

MIRAMAR BEACH, FL

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:7f679cf1-0158-9be7-64eb-1b07910421b2

Data as of Mar 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MORTON, CLAIBORNE, BARKSDALE

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

09/2014

Jan 5, 2015

Mar 15, 2016

Olivarez, Jill, Laurie

DIRECTOR OF OPERATIONS

yes

10/2015

Oct 22, 2015

Mar 15, 2016

TEAM SCM ADVISORS, INC.

MANAGING MEMBER

yes

09/2014

Jan 5, 2015

Mar 15, 2016

TEAM SCM ADVISORS, INC.

MANAGING MEMBER

yes

09/2014

Jan 5, 2015

Mar 15, 2016

City

State

Country

Employees

Also broker-dealer

PALO ALTO

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 15, 2016

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

n/a