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Former SEC-registered adviser

A•••••• W••••• M••••••••• S••••••• L••

Former SEC-registered adviserGrand Rapids, MichiganCRD 301780SEC 801-115284websiteIAPD
Latest filing Nov 14, 2019
First filing on the tape Apr 12, 2019 · 6 filings
RAUM
$41.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$41.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$41.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$41.5M as of Nov 14, 2019
Apr 12, 2019$0 then
HNW client RAUM$11.1M as of Nov 14, 2019
Aug 14, 2019$11.1M then
State-registered IARs (5.B.3)0 as of Nov 14, 2019
Apr 12, 20190 then
Employees (5.A)1 as of Nov 14, 2019
Apr 12, 20191 then
Private funds: no history
Practice profile
derived from the filing of Nov 14, 2019; every figure names its basis
RAUM per advisor
$41.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
350derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$118,563derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
0.5derived2 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$41.5MreportedItem 5.I
Custody
$22.6M, 83 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$30.4M73%
  • High-net-worth individuals$11.1M27%
Individual clients
341reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
350reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$22.6M for 83 clientsreported
Compensation
% of AUM, fixed, 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
T••••••• D••••• P•••••Certified Financial PlannerGrand Rapids, MiMay 13, 201929 y1
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 headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• T•••••••• D••••• · Managing Member And Chief Compliance Officercontrol
    since 04/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Grand Rapids, Mi · principal100
Offices
Schedule D 1.F, the 25 largest
  • Bad Axe, MI1 employees
What changed
consecutive filings, newest first
  • Accounts · 0 to 350
    May 13, 2019 to Aug 14, 2019
  • HNW clients · unset to 9.0
    May 13, 2019 to Aug 14, 2019
  • Individual clients · unset to 341.0
    May 13, 2019 to Aug 14, 2019
  • Assets in custody · unset to 22561095.0
    May 13, 2019 to Aug 14, 2019
  • Custody of client assets · false to true
    May 13, 2019 to Aug 14, 2019
  • Discretionary RAUM · $0 to $41.5M
    May 13, 2019 to Aug 14, 2019
  • HNW RAUM · unset to 11069132.0
    May 13, 2019 to Aug 14, 2019
  • Individual RAUM · unset to 30428024.0
    May 13, 2019 to Aug 14, 2019
  • RAUM · $0 to $41.5M
    May 13, 2019 to Aug 14, 2019
  • Financial planning clients · unset to 0
    Apr 12, 2019 to May 13, 2019
Signals
2 dated events
  • A••••• L••• B•••• left A•••••• W••••• M••••••••• S••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-17)
    Oct 23, 2023 · Advisor changed firm · fact
  • A•••••• W••••• M••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 12, 2019 · 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.
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/awm-s/?viewAsMember=truereportedpublic record, Form ADV, Sep 21, 2026
Website
w••.a••••.comreportedpublic record, Form ADV, Sep 21, 2026
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
$41.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026