DFX Intelligence

Data Factory

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

CIRCLE ONE WEALTH MANAGEMENT, LLC

CRD 152626

CHARLOTTE, NC

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:c16a089f-f484-a287-15b0-ccfa8ceb76c8

Data as of Mar 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2011 to Mar 28, 2012
3 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: $182MItem 5.F on the latest filing (2012-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $132M
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
Accounts: 1,289
SEC number: 801-70971
CRD: 152626
Filings on the tape: 3
First filed: Dec 22, 2011
Latest filed: Mar 28, 2012
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
LAKIAN, JOHN, ROBIN	DIRECTOR & CHAIRMAN	E	yes	10/2009	Dec 22, 2011	Mar 28, 2012
LAMM, DIANE, WILSON	CHIEF OPERATING OFFICER	Na	yes	10/2009	Dec 22, 2011	Mar 28, 2012
ROBERTSON, LESLIE, S	CHIEF COMPLIANCE OFFICER	Na	yes	03/2012	Mar 26, 2012	Mar 28, 2012

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
AEGIS CAPITAL, LLC	n/a	Former SEC adviser	$2.8M	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
WEST PALM BEACH	FL	United States	n/a	no
Huntersville	Nc	United States	n/a	no
KINGS MOUNTAIN	Nc	United States	n/a	no
MT AIRY	Nc	United States	n/a	no
Portsmouth	Nh	United States	n/a	no
Charleston	Sc	United States	n/a	no

Relationships

Affiliated with (1)

→ AEGIS CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← LAKIAN, JOHN, ROBINOwnerDIRECTOR & CHAIRMAN, ownership code E, individual
Dec 22, 2011 to presentfactForm ADV
← LAMM, DIANE, WILSONOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Dec 22, 2011 to presentfactForm ADV
← ROBERTSON, LESLIE, SOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2012 to presentfactForm ADV

Registered with (4)

← PETER TOMLINSON ROEAdvisorregistration: previous registration
Jan 27, 2010 to Mar 28, 2012factForm ADV
← FRANK STUART BLACKARDAdvisorregistration: previous registration
Apr 20, 2010 to Mar 28, 2012factForm ADV
← RICHARD DAVID PECKAdvisorregistration: previous registration
Mar 22, 2010 to Mar 28, 2012factForm ADV
← JASON DEWANDE BELLAdvisorregistration: previous registration
Jan 28, 2010 to Mar 28, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c16a089f-f484-a287-15b0-ccfa8ceb76c8
First observed: Dec 22, 2011
Last observed: Mar 28, 2012 176 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.

CIRCLE ONE WEALTH MANAGEMENT, LLC

CRD 152626

CHARLOTTE, NC

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:c16a089f-f484-a287-15b0-ccfa8ceb76c8

Data as of Mar 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:24 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAKIAN, JOHN, ROBIN

DIRECTOR & CHAIRMAN

yes

10/2009

Dec 22, 2011

Mar 28, 2012

LAMM, DIANE, WILSON

CHIEF OPERATING OFFICER

yes

10/2009

Dec 22, 2011

Mar 28, 2012

ROBERTSON, LESLIE, S

CHIEF COMPLIANCE OFFICER

yes

03/2012

Mar 26, 2012

Mar 28, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AEGIS CAPITAL, LLC

n/a

Former SEC adviser

$2.8M

yes

n/a

City

State

Country

Employees

Also broker-dealer

WEST PALM BEACH

United States

n/a

Huntersville

United States

n/a

KINGS MOUNTAIN

United States

n/a

MT AIRY

United States

n/a

Portsmouth

United States

n/a

Charleston

United States

n/a