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

ASSET ONE LLC

CRD 106276

GREENWOOD VILLAGE, CO

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:ed08f6cf-d9c2-c4aa-8527-51d779a86c2d

Data as of Mar 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 14, 2017
11 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: $487MItem 5.F on the latest filing (2017-03-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $487M
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: 14
Advisory employees: 14
Accounts: 604
SEC number: 801-46986
CRD: 106276
Filings on the tape: 11
First filed: Mar 29, 2012
Latest filed: Mar 14, 2017
Organised: Limited Liability Company, Colorado

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
BAUMLER, THOMAS	SHAREHOLDER/PRESIDENT	D	yes	01/1993	Mar 29, 2012	Mar 14, 2017
BAUMLER, THOMAS	CHIEF COMPLIANCE OFFICER\MANAGER	Na	yes	11/1997	Mar 29, 2012	Mar 14, 2017
FA SERVICES, INC.	Owner	D	yes	06/1994	Mar 29, 2012	Mar 14, 2017
VIZZINI, JOSEPH, JACOB	CHIEF INVESTMENT OFFICER	C	yes	06/1994	Mar 29, 2012	Mar 14, 2017
LANDRETH, PORTER, RHEA	SHAREHOLDER/PRESIDENT	E	no	04/1989	Mar 29, 2012	Mar 14, 2017
PRL, CO.	Owner	B	no	03/1999	Mar 29, 2012	Mar 14, 2017

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
PAMELA O. DUMONCEAU	n/a	n/a	n/a	N	no	n/a
PAMELA O. DUMONCEAU	n/a	n/a	n/a	N	no	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
Mandeville	La	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
2016	Mar 14, 2017	$487M	$487M	14	14	n/a	n/a	n/a
2015	Mar 14, 2016	$397M	$397M	14	14	n/a	n/a	n/a
2014	Mar 19, 2015	$581M	$581M	14	14	n/a	n/a	n/a
2013	Mar 27, 2014	$504M	$504M	12	12	n/a	n/a	n/a
2012	Apr 2, 2013	$348M	$348M	12	6	n/a	n/a	n/a
2011	Mar 29, 2012	$311M	$311M	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
2016	$487M	$397M	22.5%	$504M	-1.2%	14	14	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
GIRARD SECURITIES, INC.	2	Jul 2, 2017	Jul 2, 2017	MANDEVILLE, LA	Team lift out	Other	66.7%

Relationships

Controls (3)

← BAUMLER, THOMASOwnerSHAREHOLDER/PRESIDENT, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← VIZZINI, JOSEPH, JACOBOwnerCHIEF INVESTMENT OFFICER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← FA SERVICES, INC.OwnerOWNER, ownership code D, domestic entity
Mar 29, 2012 to presentfactForm ADV

Owns (2)

← LANDRETH, PORTER, RHEAOwnerSHAREHOLDER/PRESIDENT, ownership code E, individual
Mar 29, 2012 to presentfactForm ADV
← PRL, CO.OwnerOWNER, ownership code B, domestic entity
Mar 29, 2012 to presentfactForm ADV

Moved with (1)

→ GIRARD SECURITIES, INC.Registered adviser2 advisors, team lift out, same day
Jul 2, 2017 to Jul 2, 2017factForm ADV

Registered with (4)

← REGINALD FRANKLIN MUGGLEYAdvisorregistration: previous registration
Apr 7, 2003 to Jul 2, 2017factForm ADV
← CHARLES HENRY MCLOUGHLINAdvisorregistration: previous registration
May 17, 2004 to Jul 2, 2017factForm ADV
← RICHARD HAROLD GREENEAdvisorregistration: previous registration
Sep 17, 2013 to Jul 2, 2017factForm ADV
← JOHN LOGAN TAUNTONAdvisorregistration: previous registration
May 23, 2011 to Aug 27, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ed08f6cf-d9c2-c4aa-8527-51d779a86c2d
First observed: Mar 29, 2012
Last observed: Mar 14, 2017 115 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.

ASSET ONE LLC

CRD 106276

GREENWOOD VILLAGE, CO

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:ed08f6cf-d9c2-c4aa-8527-51d779a86c2d

Data as of Mar 14, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAUMLER, THOMAS

SHAREHOLDER/PRESIDENT

yes

01/1993

Mar 29, 2012

Mar 14, 2017

BAUMLER, THOMAS

CHIEF COMPLIANCE OFFICER\MANAGER

yes

11/1997

Mar 29, 2012

Mar 14, 2017

FA SERVICES, INC.

Owner

yes

06/1994

Mar 29, 2012

Mar 14, 2017

VIZZINI, JOSEPH, JACOB

CHIEF INVESTMENT OFFICER

yes

06/1994

Mar 29, 2012

Mar 14, 2017

LANDRETH, PORTER, RHEA

SHAREHOLDER/PRESIDENT

04/1989

Mar 29, 2012

Mar 14, 2017

PRL, CO.

Owner

03/1999

Mar 29, 2012

Mar 14, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PAMELA O. DUMONCEAU

n/a

PAMELA O. DUMONCEAU

n/a

City

State

Country

Employees

Also broker-dealer

Mandeville

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 14, 2017

$487M

n/a

2015

Mar 14, 2016

$397M

n/a

2014

Mar 19, 2015

$581M

n/a

2013

Mar 27, 2014

$504M

n/a

2012

Apr 2, 2013

$348M

n/a

2011

Mar 29, 2012

$311M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$487M

$397M

22.5%

$504M

-1.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GIRARD SECURITIES, INC.

Jul 2, 2017

MANDEVILLE, LA

Team lift out

Other

66.7%