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LOCKWOOD WEALTH STRATEGIES, LLC

· CRD 327781 · IAPD ↗ · lockwoodws.com · (346) 487-8700

$41.3MRegulatory AUM
1Advisory reps
2Employees
0Clients
26-50Planning clients
0Private funds
1States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
July 2024 — LOCKWOOD WEALTH STRATEGIES, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $41.3M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
64
May 2024 — LOCKWOOD WEALTH STRATEGIES, LLC reports 26-50 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
95
February 2024 — LOCKWOOD WEALTH STRATEGIES, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.