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

PEARL MANAGEMENT COMPANY

CRD 105412

MUSCATINE, IA

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:c9def672-923e-dead-a7d9-e0cc6fbf1896

Data as of Mar 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 28, 2012
1 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: $106MItem 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: $106M
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
SEC number: 801-8868
CRD: 105412
Filings on the tape: 1
First filed: Mar 28, 2012
Latest filed: Mar 28, 2012
Organised: Corporation, Iowa

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
CAPITAL FORMATION COUNCIL	NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS	B	yes	06/1986	Mar 28, 2012	Mar 28, 2012
FREE ENTERPRISE ADVOCATES	NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS	B	yes	08/1990	Mar 28, 2012	Mar 28, 2012
INVESTOR PROTECTION, INC.	NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS	C	yes	04/2002	Mar 28, 2012	Mar 28, 2012
PUBLIC INTEREST COMMITTEE	NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS	B	yes	08/1990	Mar 28, 2012	Mar 28, 2012
SOLT, DANA, DORETTE	Director	Na	yes	05/2003	Mar 28, 2012	Mar 28, 2012
SOLT, ROBERT, HOWARD	INVESTMENT MANAGER, CHIEF COMPLIANCE OFFICER, TREASURER, ASSISTANT SECRETARY, DIRECTOR	Na	yes	06/2011	Mar 28, 2012	Mar 28, 2012
STANLEY, DAVID, MAXWELL	SENIOR COUNSEL, CHIEF LEGAL OFFICER, SECRETARY, DIRECTOR	Na	yes	07/1972	Mar 28, 2012	Mar 28, 2012
STANLEY, JEAN, LEU	Director	Na	yes	07/1972	Mar 28, 2012	Mar 28, 2012
TAXPAYER RIGHTS ASSOCIATION	NON PROFIT ORGANIZATION WITH NO SHAREHOLDERS	B	yes	06/1986	Mar 28, 2012	Mar 28, 2012
PHILLIPS, RICHARD, ROBERT	PRESIDENT, CEO, CFO, COO	Na	no	06/2011	Mar 28, 2012	Mar 28, 2012

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
2011	Mar 28, 2012	$106M	$106M	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
2011	$106M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (9)

← STANLEY, DAVID, MAXWELLOwnerSENIOR COUNSEL, CHIEF LEGAL OFFICER, SECRETARY, DIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← STANLEY, JEAN, LEUOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← SOLT, ROBERT, HOWARDOwnerINVESTMENT MANAGER, CHIEF COMPLIANCE OFFICER, TREASURER, ASSISTANT SECRETARY, DIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← SOLT, DANA, DORETTEOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← CAPITAL FORMATION COUNCILOwnerNONPROFIT ORGANIZATION WITH NO SHAREHOLDERS, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV
← FREE ENTERPRISE ADVOCATESOwnerNONPROFIT ORGANIZATION WITH NO SHAREHOLDERS, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV
← INVESTOR PROTECTION, INC.OwnerNONPROFIT ORGANIZATION WITH NO SHAREHOLDERS, ownership code C, domestic entity
Mar 28, 2012 to presentfactForm ADV
← PUBLIC INTEREST COMMITTEEOwnerNONPROFIT ORGANIZATION WITH NO SHAREHOLDERS, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV
← TAXPAYER RIGHTS ASSOCIATIONOwnerNON PROFIT ORGANIZATION WITH NO SHAREHOLDERS, ownership code B, domestic entity
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← PHILLIPS, RICHARD, ROBERTOwnerPRESIDENT, CEO, CFO, COO, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9def672-923e-dead-a7d9-e0cc6fbf1896
First observed: Mar 28, 2012
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.

PEARL MANAGEMENT COMPANY

CRD 105412

MUSCATINE, IA

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:c9def672-923e-dead-a7d9-e0cc6fbf1896

Data as of Mar 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:26 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAPITAL FORMATION COUNCIL

NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS

yes

06/1986

Mar 28, 2012

FREE ENTERPRISE ADVOCATES

NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS

yes

08/1990

Mar 28, 2012

INVESTOR PROTECTION, INC.

NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS

yes

04/2002

Mar 28, 2012

PUBLIC INTEREST COMMITTEE

NONPROFIT ORGANIZATION WITH NO SHAREHOLDERS

yes

08/1990

Mar 28, 2012

SOLT, DANA, DORETTE

Director

yes

05/2003

Mar 28, 2012

SOLT, ROBERT, HOWARD

INVESTMENT MANAGER, CHIEF COMPLIANCE OFFICER, TREASURER, ASSISTANT SECRETARY, DIRECTOR

yes

06/2011

Mar 28, 2012

STANLEY, DAVID, MAXWELL

SENIOR COUNSEL, CHIEF LEGAL OFFICER, SECRETARY, DIRECTOR

yes

07/1972

Mar 28, 2012

STANLEY, JEAN, LEU

Director

yes

07/1972

Mar 28, 2012

TAXPAYER RIGHTS ASSOCIATION

NON PROFIT ORGANIZATION WITH NO SHAREHOLDERS

yes

06/1986

Mar 28, 2012

PHILLIPS, RICHARD, ROBERT

PRESIDENT, CEO, CFO, COO

06/2011

Mar 28, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$106M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$106M

n/a