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Former SEC-registered adviser

W••••• M••••••••• I••••••••• L•••

Former SEC-registered adviserPeoria, ArizonaCRD 153146SEC 801-71159IAPD
Latest filing Sep 20, 2016
First filing on the tape Feb 21, 2012 · 14 filings
RAUM
$100M
reported, Item 5.F
Discretionary
93%
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
9
4 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$101M as of Feb 19, 2016
Feb 21, 2012$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 19, 2016
Feb 21, 20120 then
Employees (5.A)10 as of Feb 19, 2016
Feb 20, 201310 then
Private funds: no history
RAUM -8.3% over the last fiscal year-3.5% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Sep 20, 2016; every figure names its basis
RAUM per advisor
$25.0MderivedRAUM 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
$152,458derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.3%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
657reported
Financial planning clients
101-250reported
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
Left, latest
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
    • F•••••• L•••• M••••••• · Chief Compliance Officercontrol
      since 02/2010 · owns less than 5%
    • G••••• J•••••• L••• · Corporate Secretarycontrol
      since 09/1997 · owns 50% to 75%
    • G••••• R••••••• M•••••• · Presidentcontrol
      since 09/1997 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • D••••• M••••
      real estaten
    • D••••• M••••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 688 to 657
      Apr 8, 2016 to Sep 20, 2016
    • Advisory employees · 5 to 4
      Apr 8, 2016 to Sep 20, 2016
    • Employees · 10 to 9
      Apr 8, 2016 to Sep 20, 2016
    • State-registered IARs · 5 to 4
      Apr 8, 2016 to Sep 20, 2016
    • Discretionary RAUM · $84.5M to $93.5M
      Apr 8, 2016 to Sep 20, 2016
    • Non-discretionary RAUM · $12.5M to $6.6M
      Apr 8, 2016 to Sep 20, 2016
    • RAUM · $97.0M to $100M
      Apr 8, 2016 to Sep 20, 2016
    • Accounts · 713 to 688
      Feb 19, 2016 to Apr 8, 2016
    • Insurance-licensed employees · 1 to 4
      Feb 19, 2016 to Apr 8, 2016
    • Discretionary RAUM · $93.5M to $84.5M
      Feb 19, 2016 to Apr 8, 2016
    • Non-discretionary RAUM · $7.8M to $12.5M
      Feb 19, 2016 to Apr 8, 2016
    • RAUM · $101M to $97.0M
      Feb 19, 2016 to Apr 8, 2016
    • Related adviser · false to true
      Jan 27, 2015 to Feb 19, 2016
    • RAUM · $109M to $101M
      Jan 27, 2015 to Feb 19, 2016
    • Accounts · 772 to 713
      Jan 27, 2015 to Feb 19, 2016
    • Insurance-licensed employees · 0 to 1
      Jan 27, 2015 to Feb 19, 2016
    • Financial planning clients · 51-100 to 101-250
      Jan 27, 2015 to Feb 19, 2016
    • Discretionary RAUM · $96.0M to $93.5M
      Jan 27, 2015 to Feb 19, 2016
    • Non-discretionary RAUM · $13.2M to $7.8M
      Jan 27, 2015 to Feb 19, 2016
    • Accounts · 784 to 772
      Oct 31, 2014 to Jan 27, 2015
    • Financial planning clients · 1-10 to 51-100
      Oct 31, 2014 to Jan 27, 2015
    • Discretionary RAUM · $96.7M to $96.0M
      Oct 31, 2014 to Jan 27, 2015
    • Non-discretionary RAUM · $12.5M to $13.2M
      Oct 31, 2014 to Jan 27, 2015
    • RAUM · $109M to $109M
      Oct 31, 2014 to Jan 27, 2015
    • Accounts · 890 to 227
      May 23, 2014 to Oct 31, 2014
    • Discretionary RAUM · $94.4M to $106M
      May 23, 2014 to Oct 31, 2014
    • Non-discretionary RAUM · $14.8M to $20.4M
      May 23, 2014 to Oct 31, 2014
    • RAUM · $109M to $127M
      May 23, 2014 to Oct 31, 2014
    • Accounts · 227 to 784
      Oct 31, 2014 to Oct 31, 2014
    • Discretionary RAUM · $106M to $96.7M
      Oct 31, 2014 to Oct 31, 2014
    • Non-discretionary RAUM · $20.4M to $12.5M
      Oct 31, 2014 to Oct 31, 2014
    • RAUM · $127M to $109M
      Oct 31, 2014 to Oct 31, 2014
    • Accounts · 952 to 890
      Feb 20, 2013 to Feb 13, 2014
    • Advisory employees · 4 to 5
      Feb 20, 2013 to Feb 13, 2014
    • State-registered IARs · 4 to 5
      Feb 20, 2013 to Feb 13, 2014
    • Discretionary RAUM · $92.1M to $94.4M
      Feb 20, 2013 to Feb 13, 2014
    • Non-discretionary RAUM · $19.5M to $14.8M
      Feb 20, 2013 to Feb 13, 2014
    • RAUM · $112M to $109M
      Feb 20, 2013 to Feb 13, 2014
    • Accounts · 1,126 to 952
      Feb 15, 2013 to Feb 20, 2013
    • Advisory employees · 5 to 4
      Feb 15, 2013 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