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

FPL ASSET MANAGEMENT, LLC

CRD 122442

MONROE, LA

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:fc2c7569-2942-d79d-00c3-87d36c3b0b93

Data as of Mar 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Mar 24, 2015
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
Regulatory AUM: $402MItem 5.F on the latest filing (2015-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $201M
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: 6
Advisory employees: 5
Accounts: 953
SEC number: 801-61411
CRD: 122442
Filings on the tape: 8
First filed: Mar 22, 2012
Latest filed: Mar 24, 2015
Organised: Limited Liability Company, Louisiana

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
C. LOUIS RAY, INC.	HOLDING COMPANY	D	yes	07/2002	Mar 22, 2012	Mar 24, 2015
KENNETH G. VINES, INC.	HOLDING COMPANY	D	yes	07/2002	Mar 22, 2012	Mar 24, 2015
RAY, CHARLES, LOUIS	President	E	yes	08/2002	Mar 22, 2012	Mar 24, 2015
RAY, CHARLES, LOUIS	MANAGING MEMBER	Na	yes	08/2002	Mar 22, 2012	Mar 24, 2015
VINES, KENNETH, GUS	President	E	yes	08/2002	Mar 22, 2012	Mar 24, 2015
VINES, KENNETH, GUS	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	Na	yes	08/2002	Mar 22, 2012	Mar 24, 2015

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 24, 2015	$402M	$201M	6	5	n/a	n/a	n/a
2013	Mar 26, 2014	$370M	$178M	6	5	n/a	n/a	n/a
2012	Mar 22, 2013	$225M	$153M	6	4	n/a	n/a	n/a
2011	Mar 22, 2012	$203M	$122M	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	$402M	$370M	8.5%	$203M	25.4%	6	6	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
FIDUCIARY INVESTMENT CONSULTANTS, LLC	2	Oct 13, 2015	Jan 26, 2011	MONROE, LA	Team lift out	Other	66.7%

Relationships

Controls (4)

← RAY, CHARLES, LOUISOwnerPRESIDENT, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV
← VINES, KENNETH, GUSOwnerPRESIDENT, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV
← C. LOUIS RAY, INC.OwnerHOLDING COMPANY, ownership code D, domestic entity
Mar 22, 2012 to presentfactForm ADV
← KENNETH G. VINES, INC.OwnerHOLDING COMPANY, ownership code D, domestic entity
Mar 22, 2012 to presentfactForm ADV

Affiliated with (1)

← FIDUCIARY INVESTMENT CONSULTANTS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (4)

← CHARLES LOUIS RAYAdvisorregistration: previous registration
Aug 30, 2002 to Oct 13, 2015factForm ADV
← KENNETH GUS VINESAdvisorregistration: previous registration
Aug 30, 2002 to Oct 13, 2015factForm ADV
← NICHOLAS CREED TRAPPEYAdvisorregistration: previous registration
Sep 24, 2012 to Oct 13, 2015factForm ADV
← BRANDON CLAY JUSTUSAdvisorregistration: previous registration
Oct 10, 2014 to Apr 23, 2015factForm ADV

Moved with (1)

→ FIDUCIARY INVESTMENT CONSULTANTS, LLCRegistered adviser2 advisors, team lift out, same day
Oct 13, 2015 to Jan 26, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc2c7569-2942-d79d-00c3-87d36c3b0b93
First observed: Mar 22, 2012
Last observed: Mar 24, 2015 139 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.

FPL ASSET MANAGEMENT, LLC

CRD 122442

MONROE, LA

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:fc2c7569-2942-d79d-00c3-87d36c3b0b93

Data as of Mar 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

C. LOUIS RAY, INC.

HOLDING COMPANY

yes

07/2002

Mar 22, 2012

Mar 24, 2015

KENNETH G. VINES, INC.

HOLDING COMPANY

yes

07/2002

Mar 22, 2012

Mar 24, 2015

RAY, CHARLES, LOUIS

President

yes

08/2002

Mar 22, 2012

Mar 24, 2015

RAY, CHARLES, LOUIS

MANAGING MEMBER

yes

08/2002

Mar 22, 2012

Mar 24, 2015

VINES, KENNETH, GUS

President

yes

08/2002

Mar 22, 2012

Mar 24, 2015

VINES, KENNETH, GUS

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

08/2002

Mar 22, 2012

Mar 24, 2015

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 24, 2015

$402M

$201M

n/a

2013

Mar 26, 2014

$370M

$178M

n/a

2012

Mar 22, 2013

$225M

$153M

n/a

2011

Mar 22, 2012

$203M

$122M

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

$402M

$370M

8.5%

$203M

25.4%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIDUCIARY INVESTMENT CONSULTANTS, LLC

Oct 13, 2015

Jan 26, 2011

MONROE, LA

Team lift out

Other

66.7%