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Former SEC-registered adviser

C•••••••• F•••••••• S••••••••• L••

Former SEC-registered adviserCRD 281048SEC 801-106519IAPD
Latest filing Apr 14, 2016
First filing on the tape Aug 3, 2015 · 7 filings
RAUM
$15.1M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$15.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$15.1M as of Apr 14, 2016
Aug 3, 2015$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 14, 2016
Aug 3, 20151 then
Employees (5.A)1 as of Apr 14, 2016
Aug 3, 20151 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 14, 2016; every figure names its basis
RAUM per advisor
$15.1MderivedRAUM 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
$161,828derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 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
93reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• W•••••• R•••••••Certified Financial PlannerJohns Creek, GaSep 9, 201527 y3
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
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••••• R•••••• W•••••• · Member, Chief Compliance Officercontrol
      since 08/2015 · 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 · 86 to 93
      Feb 11, 2016 to Mar 30, 2016
    • Discretionary RAUM · $15.0M to $14.1M
      Feb 11, 2016 to Mar 30, 2016
    • RAUM · $15.9M to $15.1M
      Feb 11, 2016 to Mar 30, 2016
    • Accounts · 0 to 86
      Sep 3, 2015 to Jan 5, 2016
    • Discretionary RAUM · $0 to $15.0M
      Sep 3, 2015 to Jan 5, 2016
    • Non-discretionary RAUM · $0 to $950,000
      Sep 3, 2015 to Jan 5, 2016
    • RAUM · $0 to $15.9M
      Sep 3, 2015 to Jan 5, 2016
    • Succession · true to false
      Aug 28, 2015 to Sep 3, 2015
    • Succession · false to true
      Aug 3, 2015 to Aug 28, 2015
    Signals
    2 dated events
    • C•••••••• F•••••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Aug 28, 2015 · Succession (Item 4) · fact
    • C•••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 3, 2015 · 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
    $15.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026