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S••••• W••••• M•••••••••

Former SEC-registered adviserFormer SEC adviserwebsite

Former SEC-registered adviser, reporting $13.5M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$13.5M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $13.5M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 322652 · SEC 801-126479 · 5 filingsShow
CRD 322652SEC 801-126479Legal name S••••• W••••• M••••••••• L••First filing on the tape Aug 1, 2022, latest Dec 15, 2022IAPD
RAUM
$13.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$13.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$13.5M
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
5 filings and snapshots on the tape
RAUM$13.5M as of Dec 15, 2022
Aug 1, 2022$0 then
HNW client RAUM$12.4M as of Dec 15, 2022
Dec 2, 2022$12.4M then
State-registered IARs (5.B.3)1 as of Dec 15, 2022
Aug 1, 20220 then
Employees (5.A)1 as of Dec 15, 2022
Aug 1, 20221 then
Private funds: no history
Practice profile
derived from the filing of Dec 15, 2022; every figure names its basis
RAUM per advisor
$13.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$329,218derivedRAUM 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
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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$12.4M92%
  • Individuals$1.1M8.2%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• C•••••• S•••••Certified Financial PlannerCharlotte, NcFeb 27, 202312 y2
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•••••• J••••• C•••••• · Managing Member And Ccocontrol
      since 08/2022 · 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 · 0 to 41
      Sep 1, 2022 to Dec 2, 2022
    • HNW clients · unset to 7.0
      Sep 1, 2022 to Dec 2, 2022
    • Financial planning clients · 0 to 11-25
      Sep 1, 2022 to Dec 2, 2022
    • State-registered IARs · 0 to 1
      Sep 1, 2022 to Dec 2, 2022
    • Discretionary RAUM · $0 to $13.5M
      Sep 1, 2022 to Dec 2, 2022
    • HNW RAUM · unset to 12389622.0
      Sep 1, 2022 to Dec 2, 2022
    • Individual RAUM · unset to 1108301.0
      Sep 1, 2022 to Dec 2, 2022
    • RAUM · $0 to $13.5M
      Sep 1, 2022 to Dec 2, 2022
    Signals
    1 dated events
    • ••• Locked
      Aug 1, 2022 · 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
    ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
    $13.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026