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Former SEC-registered adviser

Q••••••••• W••••• M••••••••• L••

Former SEC-registered adviserCharlotte, North CarolinaCRD 166807SEC 801-77672IAPD
Latest filing Aug 24, 2016
First filing on the tape Feb 19, 2013 · 27 filings
RAUM
$15.5M
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
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$20.2M as of Mar 29, 2016
Mar 11, 2014$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Mar 11, 20141 then
Employees (5.A)6 as of Mar 29, 2016
Mar 11, 20145 then
Private funds: no history
RAUM -27% over the last fiscal yearIARs 4 to 1
Practice profile
derived from the filing of Aug 24, 2016; every figure names its basis
RAUM per advisor
$15.5MderivedRAUM 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
$56,352derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.4%derivedbetween the last two annual amendments
Advisor growth, one year
-25%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 individuals, otherreportedItem 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
275reported
Financial planning clients
26-50reported
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
  • R••••••••• D•••••• M•••••• · President - Ccocontrol
    since 03/2013 · owns 75% or more
Related persons
Schedule D 7.A
  • D••••• R••••••••
    real estaten
  • D••••• R••••••••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Aug 16, 2016 to Aug 24, 2016
  • Employees · 5 to 4
    Aug 16, 2016 to Aug 24, 2016
  • State-registered IARs · 2 to 1
    Aug 16, 2016 to Aug 24, 2016
  • Advisory employees · 3 to 2
    Jun 14, 2016 to Aug 16, 2016
  • Employees · 6 to 5
    Jun 14, 2016 to Aug 16, 2016
  • State-registered IARs · 3 to 2
    Jun 14, 2016 to Aug 16, 2016
  • Accounts · 255 to 275
    Mar 29, 2016 to Jun 14, 2016
  • Discretionary RAUM · $20.0M to $15.4M
    Mar 29, 2016 to Jun 14, 2016
  • Non-discretionary RAUM · $182,000 to $83,157
    Mar 29, 2016 to Jun 14, 2016
  • RAUM · $20.2M to $15.5M
    Mar 29, 2016 to Jun 14, 2016
  • Accounts · 284 to 255
    Oct 13, 2015 to Mar 29, 2016
  • Financial planning clients · 1-10 to 26-50
    Oct 13, 2015 to Mar 29, 2016
  • Discretionary RAUM · $17.0M to $20.0M
    Oct 13, 2015 to Mar 29, 2016
  • Non-discretionary RAUM · $0 to $182,000
    Oct 13, 2015 to Mar 29, 2016
  • RAUM · $17.0M to $20.2M
    Oct 13, 2015 to Mar 29, 2016
  • Advisory activities · 4 to 3
    Sep 15, 2015 to Oct 2, 2015
  • Accounts · 162 to 284
    May 15, 2015 to Sep 15, 2015
  • Discretionary RAUM · $21.3M to $17.0M
    May 15, 2015 to Sep 15, 2015
  • RAUM · $21.3M to $17.0M
    May 15, 2015 to Sep 15, 2015
  • Employees · 7 to 6
    Mar 20, 2015 to May 15, 2015
  • State-registered IARs · 4 to 3
    Mar 20, 2015 to May 15, 2015
  • Accounts · 214 to 162
    Aug 6, 2014 to Mar 20, 2015
  • Employees · 6 to 7
    Aug 6, 2014 to Mar 20, 2015
  • Financial planning clients · 26-50 to 1-10
    Aug 6, 2014 to Mar 20, 2015
  • State-registered IARs · 2 to 4
    Aug 6, 2014 to Mar 20, 2015
  • Discretionary RAUM · $37.3M to $21.3M
    Aug 6, 2014 to Mar 20, 2015
  • Non-discretionary RAUM · $186,749 to $0
    Aug 6, 2014 to Mar 20, 2015
  • RAUM · $37.5M to $21.3M
    Aug 6, 2014 to Mar 20, 2015
  • Related insurance company · false to true
    Aug 6, 2014 to Mar 20, 2015
  • Advisory employees · 2 to 3
    Jun 25, 2014 to Aug 6, 2014
  • Employees · 5 to 6
    Jun 25, 2014 to Aug 6, 2014
  • State-registered IARs · 1 to 2
    Jun 25, 2014 to Aug 6, 2014
  • Accounts · 150 to 214
    Jun 12, 2014 to Jun 24, 2014
  • Discretionary RAUM · $33.0M to $37.3M
    Jun 12, 2014 to Jun 24, 2014
  • Non-discretionary RAUM · $2.0M to $186,749
    Jun 12, 2014 to Jun 24, 2014
  • RAUM · $35.0M to $37.5M
    Jun 12, 2014 to Jun 24, 2014
  • Advisory activities · 3 to 4
    Mar 13, 2014 to Apr 7, 2014
  • Accounts · 0 to 150
    Jul 19, 2013 to Mar 11, 2014
  • Employees · 2 to 5
    Jul 19, 2013 to Mar 11, 2014
  • Financial planning clients · 0 to 26-50
    Jul 19, 2013 to Mar 11, 2014
Signals
1 dated events
  • Q••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 19, 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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026