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S••••• C•••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· Lynchburg, Virginiawebsite

Former SEC-registered adviser, based in Lynchburg, Virginia, reporting $14.0M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$14.0M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
-18%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
Advisors (1)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 150195 · SEC 801-70135 · 14 filingsShow
CRD 150195SEC 801-70135Legal name S••••• C•••••• M••••••••• L••First filing on the tape Apr 2, 2012, latest Sep 25, 2017IAPD
RAUM
$14.0M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$14.0M
derived; firm RAUM over IAPD count
Employees
1
1 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$14.0M as of Mar 30, 2017
Apr 2, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Apr 2, 20120 then
Employees (5.A)1 as of Mar 30, 2017
Apr 1, 20133 then
Private funds: no history
RAUM -18% over the last fiscal year-55% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 25, 2017; every figure names its basis
RAUM per advisor
$14.0MderivedRAUM 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
$62,222derivedRAUM over accounts (5.F.2.f)
Discretionary
93%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
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
225reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• K•••••• M•••••L••••Burg, VaJun 5, 200923 y2
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
    • M•••••• A••••• K•••••• · Ceo/President/Chief Compliance Officer/Member/Elected Managercontrol
      since 03/2009 · owns 75% or more
    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
    • Accounts · 203 to 225
      Jul 21, 2016 to Mar 30, 2017
    • Employees · 3 to 1
      Jul 21, 2016 to Mar 30, 2017
    • Discretionary RAUM · $13.2M to $13.0M
      Jul 21, 2016 to Mar 30, 2017
    • Non-discretionary RAUM · $3.8M to $1.0M
      Jul 21, 2016 to Mar 30, 2017
    • RAUM · $17.0M to $14.0M
      Jul 21, 2016 to Mar 30, 2017
    • Discretionary RAUM · $3.8M to $13.2M
      Apr 28, 2016 to Jul 21, 2016
    • Non-discretionary RAUM · $13.2M to $3.8M
      Apr 28, 2016 to Jul 21, 2016
    • Accounts · 239 to 203
      Oct 22, 2015 to Mar 15, 2016
    • BD registered reps · 0 to 1
      Oct 22, 2015 to Mar 15, 2016
    • Insurance-licensed employees · 0 to 1
      Oct 22, 2015 to Mar 15, 2016
    • Discretionary RAUM · $1.8M to $3.8M
      Oct 22, 2015 to Mar 15, 2016
    • Non-discretionary RAUM · $164M to $13.2M
      Oct 22, 2015 to Mar 15, 2016
    • RAUM · $165M to $17.0M
      Oct 22, 2015 to Mar 15, 2016
    • Advisory activities · 4 to 3
      Mar 20, 2015 to Aug 14, 2015
    • HQ city · FOREST to L••••BURG
      Mar 20, 2015 to Aug 14, 2015
    • Accounts · 249 to 239
      Mar 28, 2014 to Mar 20, 2015
    • Discretionary RAUM · $2.3M to $1.8M
      Mar 28, 2014 to Mar 20, 2015
    • Non-discretionary RAUM · $151M to $164M
      Mar 28, 2014 to Mar 20, 2015
    • RAUM · $153M to $165M
      Mar 28, 2014 to Mar 20, 2015
    • Accounts · 236 to 249
      Apr 1, 2013 to Mar 28, 2014
    • Discretionary RAUM · $1.9M to $2.3M
      Apr 1, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $137M to $151M
      Apr 1, 2013 to Mar 28, 2014
    • RAUM · $139M to $153M
      Apr 1, 2013 to Mar 28, 2014
    • Accounts · 228 to 236
      Apr 2, 2012 to Apr 1, 2013
    • Advisory employees · unset to 1.0
      Apr 2, 2012 to Apr 1, 2013
    • Employees · unset to 3.0
      Apr 2, 2012 to Apr 1, 2013
    • State-registered IARs · 0 to 1
      Apr 2, 2012 to Apr 1, 2013
    • Discretionary RAUM · $500,000 to $1.9M
      Apr 2, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $128M to $137M
      Apr 2, 2012 to Apr 1, 2013
    • RAUM · $128M to $139M
      Apr 2, 2012 to Apr 1, 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 27, 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
    $14.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026