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Former SEC-registered adviser

O•••••••• W••••• M••••••••• I•••

Former SEC-registered adviserDayton, OhioCRD 152613SEC 801-71076IAPD
Latest filing Dec 20, 2013
First filing on the tape Dec 22, 2011 · 4 filings
RAUM
$281M
reported, Item 5.F
Discretionary
88%
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$281M as of Mar 27, 2013
Mar 28, 2012$247M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2013
Mar 28, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +14% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Dec 20, 2013; every figure names its basis
RAUM per advisor
$281MderivedRAUM 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
$179,148derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween 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, pension consulting, 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
1,569reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G••••• T•••••••• T••••• · Chief Financial Officercontrol
    since 01/2012 · owns less than 5%
  • K•••• E••••• L•• · Presidentcontrol
    since 12/2009 · owns 75% or more
  • L••••••• D•••••• J••••• · Chief Compliance Officercontrol
    since 12/2009 · owns less than 5%
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 · 1,551 to 1,569
    Mar 28, 2012 to Mar 27, 2013
  • Advisory employees · unset to 2.0
    Mar 28, 2012 to Mar 27, 2013
  • BD registered reps · unset to 5.0
    Mar 28, 2012 to Mar 27, 2013
  • Employees · unset to 6.0
    Mar 28, 2012 to Mar 27, 2013
  • Insurance-licensed employees · 0 to 1
    Mar 28, 2012 to Mar 27, 2013
  • State-registered IARs · 0 to 1
    Mar 28, 2012 to Mar 27, 2013
  • Discretionary RAUM · $209M to $246M
    Mar 28, 2012 to Mar 27, 2013
  • Non-discretionary RAUM · $38.4M to $34.7M
    Mar 28, 2012 to Mar 27, 2013
  • RAUM · $247M to $281M
    Mar 28, 2012 to Mar 27, 2013
  • Accounts · 1,531 to 1,551
    Dec 22, 2011 to Mar 28, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 22, 2011 to Mar 28, 2012
  • Discretionary RAUM · $201M to $209M
    Dec 22, 2011 to Mar 28, 2012
  • Non-discretionary RAUM · $39.7M to $38.4M
    Dec 22, 2011 to Mar 28, 2012
  • RAUM · $240M to $247M
    Dec 22, 2011 to Mar 28, 2012
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