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Former SEC-registered adviserFormer SEC adviser· Winston-Salem, North Carolina

Former SEC-registered adviser, based in Winston-Salem, North Carolina.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 13.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 133372 · SEC 801-63672 · 2 filingsShow
CRD 133372SEC 801-63672Legal name S•••••••• L••First filing on the tape Feb 1, 2012, latest Mar 6, 2013IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2013
Feb 1, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Financial planning clients
25,000reportedItem 5.H
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
25,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• C••••••• B•••• · Chief Executive Officer, Chief Compliance Officer, Chief Product Officer, Managing Membercontrol
        since 06/2004 · owns 5% to 10%
      • M••••••••• D••••••• J••••• · Management Committee Membercontrol
        since 10/2004 · owns less than 5%
      • S••••• D•••••• E•••• · Management Committee Membercontrol
        since 12/2010 · owns 10% to 25%
      • S••••• D•••••• E•••• · Managing Membercontrol
        since 03/2000 · owns 75% or more of H•••••••• A••••••••• L•••
      • T•••••• R••••••• S•••• · Managing Membercontrol
        since 05/2005 · owns 50% to 75% of I•••••• L••
      • W••••• P•••••• R•••••••• S••••• · Managing Membercontrol
        since 05/2005 · owns 50% to 75% of I•••••• L••
      Entity owners
      • H•••••••• A••••••••• L••• · Member
        direct · owns 25% to 50%
      • I•••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 0 to 1
        Feb 1, 2012 to Mar 6, 2013
      • Employees · unset to 2.0
        Feb 1, 2012 to Mar 6, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026