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Former SEC-registered adviser

W••••• S••••• A•••••••• L••

Former SEC-registered adviserNaples, FloridaCRD 147958SEC 801-69582IAPD
Latest filing Mar 24, 2014
First filing on the tape Jan 26, 2012 · 7 filings
RAUM
$268M
reported, Item 5.F
Discretionary
100%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$268M as of Mar 24, 2014
Jan 26, 2012$230M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 24, 2014
Jan 26, 20120 then
Employees (5.A)5 as of Mar 24, 2014
Feb 20, 201310 then
Private funds: no history
RAUM +8.0% over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of Mar 24, 2014; every figure names its basis
RAUM per advisor
$89.3MderivedRAUM 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+8.0%derivedbetween the last two annual amendments
Advisor growth, one year
-40%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, selection of other advisersreportedItem 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)
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
193reported
Financial planning clients
1-10reported
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
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
    • K•••••• D••••• B••••••• · Member/Managing Director//Chief Compliance Officercontrol
      since 08/2008 · owns 50% to 75%
    • S••••••• R••••••• H••••• · Member/ Managing Directorcontrol
      since 08/2008 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Cuyahoga Falls, OH
    What changed
    consecutive filings, newest first
    • Accounts · 227 to 193
      Feb 20, 2013 to Mar 24, 2014
    • Advisory employees · 5 to 3
      Feb 20, 2013 to Mar 24, 2014
    • Employees · 10 to 5
      Feb 20, 2013 to Mar 24, 2014
    • State-registered IARs · 5 to 3
      Feb 20, 2013 to Mar 24, 2014
    • Discretionary RAUM · $248M to $268M
      Feb 20, 2013 to Mar 24, 2014
    • RAUM · $248M to $268M
      Feb 20, 2013 to Mar 24, 2014
    • Accounts · 168 to 227
      Sep 7, 2012 to Feb 20, 2013
    • Advisory employees · unset to 5.0
      Sep 7, 2012 to Feb 20, 2013
    • Employees · unset to 10.0
      Sep 7, 2012 to Feb 20, 2013
    • State-registered IARs · 0 to 5
      Sep 7, 2012 to Feb 20, 2013
    • Discretionary RAUM · $230M to $248M
      Sep 7, 2012 to Feb 20, 2013
    • RAUM · $230M to $248M
      Sep 7, 2012 to Feb 20, 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