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D•••• • W•••••• L••

Former SEC-registered adviserFormer SEC adviser· Round Rock, Texaswebsite

Former SEC-registered adviser, based in Round Rock, Texas, reporting $82.8M of regulatory assets across 2 registered advisors.

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

Last reported RAUM
$82.8M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-11%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 144572 · SEC 801-68168 · 14 filingsShow
CRD 144572SEC 801-68168First filing on the tape Mar 21, 2012, latest Aug 17, 2017IAPD
RAUM
$82.8M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$41.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$82.8M as of Mar 31, 2017
Mar 21, 2012$94.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 21, 20120 then
Employees (5.A)2 as of Mar 31, 2017
Feb 12, 20132 then
Private funds: no history
RAUM -11% over the last fiscal year-10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 17, 2017; every figure names its basis
RAUM per advisor
$41.4MderivedRAUM 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
$332,662derivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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, pension consultingreportedItem 5.G
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)
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
249reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• T••••• D••••Round Rock, TxJan 3, 200834 y2
M••• E••••• W•••••Chartered Financial ConsultantRound Rock, TxDec 8, 200943 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• K••••• T••••• · Member And Chief Compliance Officercontrol
      since 07/2007 · owns 50% to 75%
    • W•••••• M•••• E••••• · Managing Membercontrol
      since 07/2007 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Round Rock, Tx · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · AUSTIN to ROUND ROCK
      May 24, 2017 to Aug 17, 2017
    • Accounts · 212 to 249
      Aug 24, 2016 to Mar 31, 2017
    • Financial planning clients · 26-50 to 11-25
      Aug 24, 2016 to Mar 31, 2017
    • Discretionary RAUM · $36.0M to $35.0M
      Aug 24, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $56.7M to $47.8M
      Aug 24, 2016 to Mar 31, 2017
    • RAUM · $92.6M to $82.8M
      Aug 24, 2016 to Mar 31, 2017
    • Accounts · 264 to 212
      Feb 5, 2015 to Mar 4, 2016
    • Financial planning clients · 1-10 to 26-50
      Feb 5, 2015 to Mar 4, 2016
    • Discretionary RAUM · $39.0M to $36.0M
      Feb 5, 2015 to Mar 4, 2016
    • Non-discretionary RAUM · $84.9M to $56.7M
      Feb 5, 2015 to Mar 4, 2016
    • RAUM · $124M to $92.6M
      Feb 5, 2015 to Mar 4, 2016
    • Accounts · 277 to 264
      Feb 20, 2014 to Feb 5, 2015
    • Discretionary RAUM · $35.6M to $39.0M
      Feb 20, 2014 to Feb 5, 2015
    • Non-discretionary RAUM · $79.7M to $84.9M
      Feb 20, 2014 to Feb 5, 2015
    • RAUM · $115M to $124M
      Feb 20, 2014 to Feb 5, 2015
    • Accounts · 282 to 277
      Feb 12, 2013 to Feb 20, 2014
    • Financial planning clients · 11-25 to 1-10
      Feb 12, 2013 to Feb 20, 2014
    • Discretionary RAUM · $29.5M to $35.6M
      Feb 12, 2013 to Feb 20, 2014
    • Non-discretionary RAUM · $77.6M to $79.7M
      Feb 12, 2013 to Feb 20, 2014
    • RAUM · $107M to $115M
      Feb 12, 2013 to Feb 20, 2014
    • Accounts · 271 to 282
      Mar 21, 2012 to Feb 12, 2013
    • Advisory employees · unset to 2.0
      Mar 21, 2012 to Feb 12, 2013
    • Employees · unset to 2.0
      Mar 21, 2012 to Feb 12, 2013
    • Financial planning clients · 1-10 to 11-25
      Mar 21, 2012 to Feb 12, 2013
    • State-registered IARs · 0 to 2
      Mar 21, 2012 to Feb 12, 2013
    • Discretionary RAUM · $37.2M to $29.5M
      Mar 21, 2012 to Feb 12, 2013
    • Non-discretionary RAUM · $57.4M to $77.6M
      Mar 21, 2012 to Feb 12, 2013
    • RAUM · $94.6M to $107M
      Mar 21, 2012 to Feb 12, 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.
    How to reach
    public business contact points only, each with its source
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
    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
    $41.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026