CIRCLE ONE WEALTH MANAGEMENT, LLC
CRD #152626 SEC #801-70971 CHARLOTTE, NC 704-895-6133
SEC Registered
Total AUM
$182M
Discretionary
$132M
Employees
11
Clients
11
Accounts
1,289
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BLAU, ERIC, CHARLES | I | PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| BLAU, ERIC, CHARLES | I | PRESIDENT & CHIEF INVESTMENT OFFICER | NA | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR & CHAIRMAN | NA | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR & CHAIRMAN | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| LAMM, DIANE, WILSON | I | CHIEF OPERATING OFFICER | NA | Control |
| OSUNKWO, DAVID, IJEOMA | I | CHIEF COMPLIANCE OFFICER | NA | |
| OSUNKWO, DAVID, IJEOMA | I | CHIEF COMPLIANCE OFFICER | NA | |
| PECK, RICHARD, DAVID | I | MEMBER & DIRECTOR | NA | Control |
| PECK, RICHARD, DAVID | I | MEMBER & DIRECTOR | NA | Control |
| ROBERTSON, LESLIE, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ROBERTSON, LESLIE, S | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STOREY, MARY, ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CAPITAL L GROUP, LLC | DE | OWNER | E | Control |
| CAPITAL L GROUP, LLC | DE | OWNER | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR & CHAIRMAN | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR & CHAIRMAN | E | Control |
| LAKIAN, JOHN, ROBIN | I | DIRECTOR & CHAIRMAN | E | Control |
| BELL, JASON, DEWANDE | I | MEMBER | C | Control |
| BELL, JASON, DEWANDE | I | MEMBER | C | Control |
| BLACKARD, FRANK, STUART | I | MEMBER | C | Control |
| BLACKARD, FRANK, STUART | I | MEMBER | C | Control |
| ROE, PETER, TOMLINSON | I | CHIEF COMPLIANCE OFFICER & MEMBER | C | Control |
| ROE, PETER, TOMLINSON | I | CHIEF COMPLIANCE OFFICER & MEMBER | C | Control |
| THE PECK FAMILY TRUST DATED JULY 12, 2007 | DE | MEMBER | C | Control |
| THE PECK FAMILY TRUST DATED JULY 12, 2007 | DE | MEMBER | C | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PANGEA CAPITAL MANAGEMENT, LLC | DE | CAPITAL L GROUP, LLC | D | Control |
| PANGEA CAPITAL MANAGEMENT, LLC | DE | CAPITAL L GROUP, LLC | D | Control |
| PECK, RICHARD, DAVID | I | THE PECK FAMILY TRUST DATED JULY 12, 2007 | D | Control |
| PECK, RICHARD, DAVID | I | THE PECK FAMILY TRUST DATED JULY 12, 2007 | D | Control |
| TODD-PECK, VIRGINA, RAE | I | THE PECK FAMILY TRUST DATED JULY 12, 2007 | D | Control |
| TODD-PECK, VIRGINA, RAE | I | THE PECK FAMILY TRUST DATED JULY 12, 2007 | D | Control |
| LAKIAN, JOHN, ROBIN | I | PANGEA CAPITAL MANAGEMENT, LLC | C | Control |
| LAKIAN, JOHN, ROBIN | I | PANGEA CAPITAL MANAGEMENT, LLC | C | Control |
Registrations
Federal
IA
Mar 28, 2012 REGISTERED
Notice Filings (9)
CA FL MA NC NH NY OH SC TN
Address
525 N TRYON STSUITE 1600
CHARLOTTE, NC 28202
United States
Phone: 704-895-6133