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Former SEC-registered adviser

M••••••• W••••• M••••••••• L••

Former SEC-registered adviserNorth Canton, OhioCRD 151969SEC 801-70749IAPD
Latest filing May 16, 2012
First filing on the tape Dec 21, 2011 · 8 filings
RAUM
$49.7M
reported, Item 5.F
Discretionary
99%
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
8 filings and snapshots on the tape
RAUM$49.7M as of May 16, 2012
Dec 21, 2011$33.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 16, 2012
Dec 21, 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 16, 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
$141,185derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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, portfolio management for businesses and institutions, 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)
  • 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
352reported
Financial planning clients
51-100reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M• G•••••• E•••••• M•••••• · Managing Member/Chief Compliance Officercontrol
      since 10/2009 · 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 · 302 to 352
      Mar 16, 2012 to Mar 29, 2012
    • Discretionary RAUM · $49.3M to $49.3M
      Mar 16, 2012 to Mar 29, 2012
    • RAUM · $49.7M to $49.7M
      Mar 16, 2012 to Mar 29, 2012
    • Discretionary RAUM · $33.5M to $49.3M
      Feb 24, 2012 to Mar 6, 2012
    • Non-discretionary RAUM · $402,009 to $383,164
      Feb 24, 2012 to Mar 6, 2012
    • RAUM · $33.9M to $49.7M
      Feb 24, 2012 to Mar 6, 2012
    Signals
    5 dated events
    • E••••• M•••••• M• G••••• left M••••••• W••••• M••••••••• L•• for M•••••• (registered 2023-01-04)
      Jan 3, 2023 · Advisor changed firm · fact
    • M•••••• E••••• M••••••• left M••••••• W••••• M••••••••• L•• for M•••••• (registered 2023-01-04)
      Jan 2, 2023 · Advisor changed firm · fact
    • P••••••• A•• F•••• left M••••••• W••••• M••••••••• L•• for M•••••• (registered 2023-01-05)
      Jan 2, 2023 · Advisor changed firm · fact
    • M•••••• J•••• M••••••• left M••••••• W••••• M••••••••• L•• for M•••••• (registered 2023-01-04)
      Jan 2, 2023 · Advisor changed firm · fact
    • M••••••• W••••• M••••••••• L••'s advisors moved to M•••••• (Canton, OH): 4 of 4 registered, a day apart
      Jan 2, 2023 · Firm absorbed (people side) · derived
    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