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Former SEC-registered adviser

O••• W••••• A•••••••• L••

Former SEC-registered adviserTampa, FloridaCRD 142404SEC 801-68583IAPD
Latest filing Feb 23, 2012
First filing on the tape Feb 21, 2012 · 3 filings
RAUM
$45.2M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$45.2M as of Feb 23, 2012
Feb 21, 2012$45.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2012
Feb 21, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 23, 2012; 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
$155,862derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$45.2M, 115 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
290reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$45.2M for 115 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
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
    • H••••••••• B••••• K•••• · Member & Chief Compliance Officercontrol
      since 12/2000 · owns less than 5%
    • H••••••••• B••••• K•••• · President & Ceocontrol
      since 09/1999 · owns 75% or more of O•••••• F•••••••• A•••••••• I•••
    Entity owners
    • O•••••• F•••••••• A•••••••• I••• · Holding Company & Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Kennesaw, GA
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 45200000.0
      Feb 21, 2012 to Feb 21, 2012
    • Custody of client assets · false to true
      Feb 21, 2012 to Feb 21, 2012
    Signals
    1 dated events
    • B•••• K•••• H••••••••• left O••• W••••• A•••••••• L•• for W•••••• A•••••••• L•• (registered 2023-04-24)
      Aug 2, 2023 · Advisor changed firm · fact
    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