RIA Intelligence

LAIN, STEPHEN PAUL

Legal name: LAIN ASSET MANAGEMENT & PLANNING

CRD #116840 SEC #801-63766 HIGH POINT, NC 336-887-9390
SEC Registered
Total AUM
$44.5M
Discretionary
$42.8M
Employees
1
Clients
26
Accounts
384

Firm Details

Organization Type
Sole Proprietorship
State of Formation
North Carolina
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 2, 2012
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control
LAIN, STEPHEN, PAULIOWNERE Control
LAIN, STEPHEN, PAULICHIEF COMPLIANCE OFFICERE Control

Registrations

Federal

IA
Mar 2, 2012 REGISTERED

Notice Filings (1)

NC

Address

707 WESTCHESTER DRIVE
SUITE 204
HIGH POINT, NC 27262-2418
United States
Phone: 336-887-9390