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Former SEC-registered adviser

A••••••••• L••• P••••• L••

Former SEC-registered adviserCarrollton, TexasCRD 164009SEC 801-78039IAPD
Latest filing Nov 17, 2016
First filing on the tape May 2, 2013 · 53 filings
RAUM
$799,281
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$799,281
derived; firm RAUM over IAPD count
Employees
16
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$597,781 as of Feb 12, 2016
Mar 21, 2014$1.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 12, 2016
Mar 21, 20143 then
Employees (5.A)19 as of Feb 12, 2016
Mar 21, 20143 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Nov 17, 2016; every figure names its basis
RAUM per advisor
$799,281derivedRAUM 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
$24,221derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
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
  • 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
33reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
J•••• B•••••• T••••••Frisco, TxNov 28, 201618 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• S••••• P••• · Presidentcontrol
      since 06/2015 · owns 10% to 25%
    • T••••••• J••••• B•••••• · Chief Compliance Officercontrol
      since 06/2016 · 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 · 24 to 33
      Aug 16, 2016 to Aug 16, 2016
    • Non-discretionary RAUM · $676,518 to $799,281
      Aug 16, 2016 to Aug 16, 2016
    • RAUM · $676,518 to $799,281
      Aug 16, 2016 to Aug 16, 2016
    • Advisory employees · 2 to 1
      May 3, 2016 to Jun 27, 2016
    • Employees · 19 to 16
      May 3, 2016 to Jun 27, 2016
    • State-registered IARs · 2 to 1
      May 3, 2016 to Jun 27, 2016
    • Non-discretionary RAUM · $641,451 to $676,518
      Mar 7, 2016 to Mar 22, 2016
    • RAUM · $641,451 to $676,518
      Mar 7, 2016 to Mar 22, 2016
    • Accounts · 23 to 24
      Feb 12, 2016 to Mar 7, 2016
    • HQ city · ADDISON to CARROLLTON
      Feb 12, 2016 to Mar 7, 2016
    • State-registered IARs · 1 to 2
      Feb 12, 2016 to Mar 7, 2016
    • Non-discretionary RAUM · $597,781 to $641,451
      Feb 12, 2016 to Mar 7, 2016
    • RAUM · $597,781 to $641,451
      Feb 12, 2016 to Mar 7, 2016
    • Accounts · 73 to 23
      Dec 3, 2015 to Feb 12, 2016
    • Advisory employees · 1 to 2
      Dec 3, 2015 to Feb 12, 2016
    • Non-discretionary RAUM · $1.1M to $597,781
      Dec 3, 2015 to Feb 12, 2016
    • RAUM · $1.1M to $597,781
      Dec 3, 2015 to Feb 12, 2016
    • Accounts · unset to 73.0
      Sep 8, 2015 to Sep 25, 2015
    • Advisory activities · 1 to 2
      Sep 8, 2015 to Sep 25, 2015
    • Employees · 16 to 19
      Sep 8, 2015 to Sep 25, 2015
    • Discretionary RAUM · unset to 0.0
      Sep 8, 2015 to Sep 25, 2015
    • Non-discretionary RAUM · unset to 1062513.0
      Sep 8, 2015 to Sep 25, 2015
    • RAUM · unset to 1062513.0
      Sep 8, 2015 to Sep 25, 2015
    • HQ city · CARROLLTON to ADDISON
      Jun 16, 2015 to Sep 8, 2015
    • Accounts · 3.0 to unset
      May 22, 2015 to Jun 16, 2015
    • Advisory employees · 5 to 1
      May 22, 2015 to Jun 16, 2015
    • Advisory activities · 2 to 1
      May 22, 2015 to Jun 16, 2015
    • Employees · 5 to 16
      May 22, 2015 to Jun 16, 2015
    • State-registered IARs · 5 to 1
      May 22, 2015 to Jun 16, 2015
    • Discretionary RAUM · 4000.0 to unset
      May 22, 2015 to Jun 16, 2015
    • Non-discretionary RAUM · 0.0 to unset
      May 22, 2015 to Jun 16, 2015
    • RAUM · 4000.0 to unset
      May 22, 2015 to Jun 16, 2015
    • Financial planning clients · More than 500 to 51-100
      Oct 20, 2014 to Jan 14, 2015
    • Accounts · 9 to 3
      Aug 19, 2014 to Sep 18, 2014
    • Advisory employees · 4 to 5
      Aug 19, 2014 to Sep 18, 2014
    • Employees · 4 to 5
      Aug 19, 2014 to Sep 18, 2014
    • State-registered IARs · 4 to 5
      Aug 19, 2014 to Sep 18, 2014
    • Discretionary RAUM · $1.0M to $4,000
      Aug 19, 2014 to Sep 18, 2014
    • RAUM · $1.0M to $4,000
      Aug 19, 2014 to Sep 18, 2014
    • Related broker-dealer · true to false
      Aug 6, 2014 to Aug 19, 2014
    Signals
    1 dated events
    • A••••••••• L••• P••••• L•• filed its initial SEC registration (Form ADV)
      May 2, 2013 · First SEC registration · fact
    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
    $799,281derivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026