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Former SEC-registered adviser

A••••••• W•••••• L••

Former SEC-registered adviserManhattan Beach, CaliforniaCRD 317189SEC 801-123123IAPD
Latest filing Jun 1, 2022
First filing on the tape Dec 23, 2021 · 7 filings
RAUM
$46.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$45.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.2M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$46.3M as of Jun 1, 2022
Dec 23, 2021$0 then
HNW client RAUM$27.7M as of Jun 1, 2022
Apr 18, 2022$27.7M then
State-registered IARs (5.B.3)1 as of Jun 1, 2022
Dec 23, 20211 then
Employees (5.A)5 as of Jun 1, 2022
Dec 23, 20213 then
Private funds: no history
Practice profile
derived from the filing of Jun 1, 2022; every figure names its basis
RAUM per advisor
$23.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$216,577derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 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 assets, hourly, fixed fees, subscriptionreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$9.7M, 27 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$27.7M60%
  • Individuals$18.1M39%
  • Corporations and businesses$496,8121.1%
Individual clients
63reported
HNW clients
19reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
214reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.7M for 27 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••• R•••••• M••••••Certified Financial Planner, Chartered Financial ConsultantLong Beach, CaFeb 2, 202223 y1
S••••• N•••••••Long Beach, CaJun 26, 202310 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
    • M••••••• D••••• R•••••• · Chief Executive Officer And Chief Compliance Officercontrol
      since 02/2022 · owns 75% or more
    • M•••••••• V••••• · Partner
      since 01/2022 · owns less than 5%
    • N•••••••• S••••• · Partner
      since 01/2022 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Long Beach, Ca200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 3 to 5
      Apr 18, 2022 to May 16, 2022
    • Accounts · 0 to 214
      Feb 1, 2022 to Apr 18, 2022
    • Corporate clients · unset to 1.0
      Feb 1, 2022 to Apr 18, 2022
    • HNW clients · unset to 19.0
      Feb 1, 2022 to Apr 18, 2022
    • Individual clients · unset to 63.0
      Feb 1, 2022 to Apr 18, 2022
    • Assets in custody · unset to 9656331.0
      Feb 1, 2022 to Apr 18, 2022
    • Custody of client assets · false to true
      Feb 1, 2022 to Apr 18, 2022
    • Discretionary RAUM · $0 to $46.3M
      Feb 1, 2022 to Apr 18, 2022
    • HNW RAUM · unset to 27714617.0
      Feb 1, 2022 to Apr 18, 2022
    • Individual RAUM · unset to 18136001.0
      Feb 1, 2022 to Apr 18, 2022
    • RAUM · $0 to $46.3M
      Feb 1, 2022 to Apr 18, 2022
    Signals
    1 dated events
    • A••••••• W•••••• L•• filed its initial SEC registration (Form ADV)
      Dec 23, 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
    Firm profile
    linkedin.com/company/augustus-wealth?trk=public_profile_topcreportedpublic record, Form ADV, Sep 21, 2026
    Website
    augustuswealth.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
    $23.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026