Ark Wealth Management

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Item 11.H. of Part
1A or Item 2.F. of Part 1B of Form ADV.
Civil Judicial
Check Part 1A item(s) being responded to:
11.H(1)(a)
11.H(1)(b)
11.H(1)(c)
11.H(2)
Check Part 1B item(s) being responded to:
2.F(1)
2.F(2)
2.F(3)
2.F(4)
2.F(5)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Item 11.H. of Part 1A or Item 2.F. of Part 1B. Use only one DRP to report details related to the
same event. Unrelated civil judicial actions must be reported on separate DRPs.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
5776975
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
BULL, DAVID, JAMES
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.H.
(1)(a), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.) 
THE TAPPING SOLUTION, LLC, NICOLAS ORTNER, ALEJANDRO ORTNER, JESSICA ORTNER
2.
Principal Relief Sought:
Restitution
Other Relief Sought: 
PUNITIVE, COMPENSATORY, INTEREST, ATTORNEY'S FEES, COSTS & EXPENSES, DECLARATORY RELIEF
3.
Filing Date of Court Action (MM/DD/YYYY):
01/08/2026
 Exact
 Explanation
If not exact, provide explanation:

4.
Principal Product Type:
Insurance
Other Product Types: 
PRIVATE INVESTMENTS
5.
Formal Action was brought in (include name of Federal, State or Foreign Court, Location of Court - City or County and State or Country, Docket/Case
Number): 
UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF TEXAS, TRAVIS COUNTRY, TX, UNITED STATES - CIVIL ACTION NO. 1:25-CV-02169-RP
6.
Advisory Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable): 
ARK FINANCIAL CONSULTANTS, LLC; ARK MANAGEMENT, LLC
7.
Describe the allegations related to this civil action (your response must fit within the space provided): 
PLAINTIFFS ALLEGE THAT, FROM APPROXIMATELY MAY 2018 THROUGH JUNE 2025, THE REGISTRANT AND ITS PRINCIPAL: (1) RECOMMENDED
UNSUITABLE INVESTMENTS, SPECIFICALLY ALTERNATIVE PRIVATE PLACEMENT INVESTMENTS STRUCTURED AS CONSERVATION EASEMENTS, WITHOUT
ADEQUATELY DISCLOSING THE MATERIAL TAX AND AUDIT RISKS ASSOCIATED WITH SUCH INVESTMENTS; (2) FAILED TO DISCLOSE COMMISSIONS,
CONSULTING FEES, AND REFERRAL FEES RECEIVED FROM THIRD PARTIES IN CONNECTION WITH INVESTMENT RECOMMENDATIONS, INCLUDING FEES
RECEIVED IN CONNECTION WITH THE SALE OF LIFE INSURANCE POLICIES AND REFERRALS TO A THIRD-PARTY TAX SERVICES PROVIDER; (3) MADE
MATERIAL MISREPRESENTATIONS AND OMISSIONS IN THE REGISTRANT'S FORM ADV AND CLIENT RELATIONSHIP SUMMARY FILED WITH THE SEC
REGARDING THE REGISTRANT'S COMPENSATION ARRANGEMENTS AND CONFLICTS OF INTEREST; AND (4) MISMANAGED INVESTMENT PORTFOLIO
ALLOCATIONS WITHIN CLIENT LIFE INSURANCE POLICIES. PLAINTIFFS ASSERT CLAIMS FOR VIOLATIONS OF SECTIONS 206(1), 206(2), AND 207 OF
THE INVESTMENT ADVISERS ACT OF 1940, VIOLATIONS OF THE TEXAS SECURITIES ACT, BREACH OF CONTRACT, NEGLIGENCE, FRAUDULENT
MISREPRESENTATION, AND BREACH OF FIDUCIARY DUTY.
8.
Current Status? 
 Pending
 On Appeal
 Final
9.
If on appeal, action appealed to (provide name of court) and Date Appeal Filed (MM/DD/YYYY): 
10. If pending, date notice/process was served (MM/DD/YYYY):
01/19/2026
 Exact
 Explanation
If not exact, provide explanation:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.
11. How was matter resolved:
12. Resolution Date (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
13. Resolution Detail:
A.  Were any of the following Sanctions Ordered or Relief Granted(check appropriate items)?
Monetary/Fine Amount: $
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions:
C.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement, or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
14. Provide a brief summary of circumstances related to the action(s), allegation(s), disposition(s) and/or finding(s) disclosed above (your response must
fit within the space provided). 
IN JANUARY 2026, A FORMER CLIENT FILED A LAWSUIT AGAINST AWM IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF TEXAS,
CIVIL ACTION NO. 1:25-CV-02169-RP, ALLEGING BREACH OF FIDUCIARY DUTY IN CONNECTION WITH AN ALLEGED FAILURE TO DISCLOSE FEES AND
ALLEGED FAULTY INVESTMENT ADVICE DELIVERED IN 2018. AWM DENIES THE ALLEGATIONS AND IS VIGOROUSLY DEFENDING THE MATTER. THE CASE
IS CURRENTLY PENDING.