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Principal/chief Compliance Officer · Cleveland Wealth, LLC

Douglas W. Sockman

CRD 2884058 · Named on Form ADV at one SEC-registered adviser

At a glance

Cleveland Wealth, LLC, an SEC-registered wealth manager based in Cleveland, OH with $507 million in regulatory assets, lists Douglas W. Sockman on its Form ADV as Principal/chief Compliance Officer, a control person.

Firms and roles

  • Cleveland Wealth, LLCPrincipal/chief Compliance OfficerWealth manager · Cleveland, OH · $507M in regulatory assets

AtlasMembers

Douglas’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Douglas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.