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

STRATEGIC WEALTH MANAGEMENT GROUP, INC.

CRD 113982

STUART, 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:b96808ad-681e-55dd-2f2f-b2ca76f3988f

Data as of Mar 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2012 to Mar 4, 2015
9 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: $136MItem 5.F on the latest filing (2015-03-04); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $136M
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: 4
Advisory employees: 3
Accounts: 420
Custody, client assets: $10.0M
SEC number: 801-79333
CRD: 113982
Filings on the tape: 9
First filed: Jan 17, 2012
Latest filed: Mar 4, 2015
Organised: Corporation, 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
GOLDIN, GENE, BRADLEY	DIRECTOR/SECRETARY	C	yes	09/1995	Jan 17, 2012	Mar 4, 2015
ROEGIERS, STEPHEN, MARK	DIRECTOR/VICE PRESIDENT	C	yes	09/1995	Jan 17, 2012	Mar 4, 2015
CHAPPEL, AMY, DUFFETT	INVESTMENT ADVISOR REPRESENTATIVE	B	no	10/2008	Mar 4, 2014	Mar 4, 2015
MARTIN, KIMBERLY, ANN	PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	no	06/2008	Jan 17, 2012	Mar 4, 2015
NALL, C	Treasurer	B	no	10/2009	Mar 4, 2014	Mar 4, 2015

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
ROEGIERS GOLDIN CHAPPEL NALL & ASSOCIATES	n/a	n/a	n/a	N	no	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
2014	Mar 4, 2015	$136M	$136M	4	3	n/a	n/a	n/a
2011	Jan 17, 2012	$54.2M	$54.2M	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
2014	$136M	n/a	n/a	$54.2M	35.9%	4	n/a	n/a	n/a

Relationships

Owns (3)

← MARTIN, KIMBERLY, ANNOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 17, 2012 to presentfactForm ADV
← NALL, COwnerTREASURER, ownership code B, individual
Mar 4, 2014 to presentfactForm ADV
← CHAPPEL, AMY, DUFFETTOwnerINVESTMENT ADVISOR REPRESENTATIVE, ownership code B, individual
Mar 4, 2014 to presentfactForm ADV

Controls (2)

← ROEGIERS, STEPHEN, MARKOwnerDIRECTOR/VICE PRESIDENT, ownership code C, individual
Jan 17, 2012 to presentfactForm ADV
← GOLDIN, GENE, BRADLEYOwnerDIRECTOR/SECRETARY, ownership code C, individual
Jan 17, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 4, 2014
First Form ADV filing
Strategic Wealth Management Group, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b96808ad-681e-55dd-2f2f-b2ca76f3988f
First observed: Jan 17, 2012
Last observed: Mar 4, 2015 140 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.

STRATEGIC WEALTH MANAGEMENT GROUP, INC.

CRD 113982

STUART, 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:b96808ad-681e-55dd-2f2f-b2ca76f3988f

Data as of Mar 4, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:11 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOLDIN, GENE, BRADLEY

DIRECTOR/SECRETARY

yes

09/1995

Jan 17, 2012

Mar 4, 2015

ROEGIERS, STEPHEN, MARK

DIRECTOR/VICE PRESIDENT

yes

09/1995

Jan 17, 2012

Mar 4, 2015

CHAPPEL, AMY, DUFFETT

INVESTMENT ADVISOR REPRESENTATIVE

10/2008

Mar 4, 2014

Mar 4, 2015

MARTIN, KIMBERLY, ANN

PRESIDENT/CHIEF COMPLIANCE OFFICER

06/2008

Jan 17, 2012

Mar 4, 2015

NALL, C

Treasurer

10/2009

Mar 4, 2014

Mar 4, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROEGIERS GOLDIN CHAPPEL NALL & ASSOCIATES

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 4, 2015

$136M

n/a

2011

Jan 17, 2012

$54.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$136M

n/a

$54.2M

35.9%

n/a