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Former SEC-registered adviser

S•• V••••• W•••••• L••

Former SEC-registered adviserColumbus, OhioCRD 317010SEC 801-122787websiteIAPD
Latest filing Mar 8, 2022
First filing on the tape Nov 1, 2021 · 6 filings
RAUM
$18.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$9.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$18.3M as of Mar 8, 2022
Nov 1, 2021$0 then
HNW client RAUM$11.9M as of Mar 8, 2022
Jan 31, 2022$11.9M then
State-registered IARs (5.B.3)1 as of Mar 8, 2022
Nov 1, 20210 then
Employees (5.A)1 as of Mar 8, 2022
Nov 1, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 8, 2022; every figure names its basis
RAUM per advisor
$9.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$184,821derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$7.2M, 19 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$11.9M65%
  • Individuals$6.4M35%
Individual clients
24reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
99reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$7.2M for 19 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••• J• S••••••Certified Financial PlannerColumbus, OhDec 3, 202116 y2
G•••••• D•••••• T•••••••Columbus, OhJun 24, 202612 y0
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
    • S••••••• A•••• J• · Managing Member & Chief Compliance Officercontrol
      since 12/2021 · owns 75% or more
    Related persons
    Schedule D 7.A
    • A••• S••••••
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Columbus, Oh · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • State-registered IARs · 0 to 1
      Jan 31, 2022 to Mar 7, 2022
    • Accounts · 0 to 99
      Dec 1, 2021 to Jan 31, 2022
    • HNW clients · unset to 9.0
      Dec 1, 2021 to Jan 31, 2022
    • Individual clients · unset to 24.0
      Dec 1, 2021 to Jan 31, 2022
    • Assets in custody · unset to 7155892.0
      Dec 1, 2021 to Jan 31, 2022
    • Custody of client assets · false to true
      Dec 1, 2021 to Jan 31, 2022
    • Discretionary RAUM · $0 to $18.3M
      Dec 1, 2021 to Jan 31, 2022
    • HNW RAUM · unset to 11919583.0
      Dec 1, 2021 to Jan 31, 2022
    • Individual RAUM · unset to 6377717.0
      Dec 1, 2021 to Jan 31, 2022
    • RAUM · $0 to $18.3M
      Dec 1, 2021 to Jan 31, 2022
    Signals
    1 dated events
    • S•• V••••• W•••••• L•• filed its initial SEC registration (Form ADV)
      Nov 1, 2021 · 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
    Website
    s•••••••••.comreportedpublic record, Form ADV, Jul 7, 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
    $9.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026