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Former SEC-registered adviser

M••••••••• A•••• M••••••••• L••

Former SEC-registered adviserMcdonough, GeorgiaCRD 150586SEC 801-71711IAPD
Latest filing May 15, 2012
First filing on the tape Nov 14, 2011 · 6 filings
RAUM
$10.2M
reported, Item 5.F
Discretionary
69%
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
6 filings and snapshots on the tape
RAUM$10.2M as of May 15, 2012
Nov 14, 2011$14.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2012
Nov 14, 20110 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 May 15, 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
$29,143derivedRAUM over accounts (5.F.2.f)
Discretionary
69%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
350reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Z••••••• J••••• · Chief Compliance Officer/Membercontrol
    since 10/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Mcdonough, GA
What changed
consecutive filings, newest first
  • Accounts · 366 to 350
    Dec 20, 2011 to May 15, 2012
  • Insurance-licensed employees · 0 to 1
    Dec 20, 2011 to May 15, 2012
  • HQ city · SARASOTA to MCDONOUGH
    Dec 20, 2011 to May 15, 2012
  • HQ state · FL to GA
    Dec 20, 2011 to May 15, 2012
  • Discretionary RAUM · $5.3M to $7.0M
    Dec 20, 2011 to May 15, 2012
  • Non-discretionary RAUM · $9.2M to $3.2M
    Dec 20, 2011 to May 15, 2012
  • RAUM · $14.4M to $10.2M
    Dec 20, 2011 to May 15, 2012
  • Assets in custody · 23000000.0 to unset
    Nov 17, 2011 to Dec 6, 2011
  • Custody of client assets · true to false
    Nov 17, 2011 to Dec 6, 2011
  • HQ city · LONGBOAT KEY to SARASOTA
    Nov 17, 2011 to Nov 17, 2011
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