DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Awm Services, Inc.
Latest filing Mar 8, 2012
First filing on the tape Feb 21, 2012 · 2 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2012
Feb 21, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 8, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- otherreportedItem 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
- is a broker-dealer (6.A.1)
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
- n/areported
- Financial planning clients
- 0reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Stan Russell Hall to Transamerica Financial Advisors, LLCJun 5, 2012 · Other
- William Raney Sachs to Natural Resources Capital, LLCDec 31, 2008 · Other
- Craig Lawrence Caudle to Liberty St. JamesDec 31, 2008 · Other
Joined, latest
- Stan Russell Hall from Fortitude Advisory Group L.L.C.Jun 24, 2009 · Other
- William Raney Sachs from Liberty St. JamesJul 6, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stan Russell Hall · President/Directorcontrolsince 08/2011 · owns less than 5%
- James Harvey Lee · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
- Larry Keith Anders · Membercontrolsince 09/2000 · owns 50% to 75% of Summitalliance Capital, LLC
- Douglas Wayne Gill · Shareholdercontrolsince 06/1999 · owns 75% or more of Gill Capital Management, Inc
- Gina Lester · Partnercontrolsince 06/2001 · owns 25% to 50% of Timber Ridge Partners, LP
- Michael Edward Lester · Partnercontrolsince 06/2001 · owns 25% to 50% of Timber Ridge Partners, LP
- Michael Edward Lester · Membercontrolsince 06/2001 · owns 75% or more of North Timber Capital, Lc
- Daniel Eugene Sr Legaye · Finopsince 10/2011 · owns less than 5%
Entity owners
- Summitalliance Investment Group, L.L.C. · Shareholderdirect · owns 75% or more
- Gill Capital Management, Inc. · Memberindirect · owns 25% to 50% of Summitalliance Investment Group, LLC
- North Timber Capital, Lc · General Partnerindirect · owns F of Timber Ridge Partners, LP
- Summitalliance Capital, LLC · Memberindirect · owns 75% or more of Summitalliance Investment Group, LLC
- Timber Ridge Partners, LP · Memberindirect · owns 25% to 50% of Summit Alliance Capital, LLC
Related persons
Schedule D 7.A
- Ascendant Advisors, LLCinvestment advisern
- Summit Advisor Solutionsinvestment advisernRAUM $2.0B
- Summitalliance Securities, L.L.C.broker-dealern
Advisers that list Awm Services, Inc. as a related person
- 151127 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · FINANCIAL COUNSELING CORPORATION to AWM SERVICES, INC.Feb 21, 2012 to Mar 8, 2012
- Legal name · FINANCIAL COUNSELING CORPORATION to AWM SERVICES, INC.Feb 21, 2012 to Mar 8, 2012
Signals
No event on the tape.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026