Ross D. Pauley

CAPITAL ACHIEVEMENTS

Dallas, TX

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CRD#: 4443719

Professional summary

Ross Douglas Pauley, CFP® is a registered financial advisor currently at CAPITAL ACHIEVEMENTS, LLC located in Dallas, Texas.

Ross is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Ross has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Now's the Time - Move Forward, LLC Not Investment-Related Dallas, Texas Financial Planning (non-investment related) Consultant- providing assistance with business strategy, business processes, and client managment Started September 1, 2022. 40 hours per month, none during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Douglas Pauley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

December 22, 2017 - Present

CAPITAL ACHIEVEMENTS, LLC

RIA

CRD#: 291108

Dallas, TX

Past

January 1, 2001 - April 11, 2018

ASTORIA STRATEGIC WEALTH, INC.

RIA

CRD#: 113510

ROUND ROCK, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL ACHIEVEMENTS, LLC

CRD#: 291108 / SEC#: 801-131269

RIA

Registered Investment Advisory firm - (10/9/2024 Approved)

Texas

Registered Investment Advisory firm - (10/18/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(12/22/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

CAPITAL ACHIEVEMENTS, LLC

CRD#: 291108 / SEC#: 801-131269

RIA

Registered Investment Advisory firm - (10/9/2024 Approved)

Texas

Registered Investment Advisory firm - (10/18/2024 Terminated)

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Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(512) 399-3541

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2AB (7/25/2025)

Regulatory assets under management

Total Number of Accounts	172
AUM (Assets Under Management)	$ 146,787,130

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Ross D. Pauley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Douglas Pauley's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ACHIEVEMENTS, LLC

ASTORIA STRATEGIC WEALTH, INC.

Primary Firm SEC Registration

CAPITAL ACHIEVEMENTS, LLC

State Registrations and Notice Filings

Exams

Current Firm

CAPITAL ACHIEVEMENTS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL ACHIEVEMENTS, LLC

TRUST BUT VERIFY

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