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P••••• W••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

P••••• W••••• M••••••••• L••

CRD 172203

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Search this name across graphsid dfx:ria:0105113f-2b8f-e93c-e9f0-6ea184531f46

Data as of Mar 28, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Aug 1, 2014 to Mar 28, 2022
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $149MItem 5.F on the latest filing (2022-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $149M
Private client RAUM: $120MderivedItem 5.D individuals plus high net worth individuals
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• J••••• R•••••	MEMBER; CHIEF COMPLIANCE OFFICER	E	yes	06/2014	Aug 1, 2014	Mar 28, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••• R• P•••••• C••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$149M	$140M	6.9%	$122M	7.1%	2	2	0	0

Relationships

Controls (1)

← P•••••• J••••• R•••••OwnerMEMBER; CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 1, 2014 to presentfactForm ADV

Registered with (1)

← J•••• R••••• P•••••Advisorregistration: previous registration
Sep 22, 2014 to Jun 2, 2022factForm ADV

Dated events

Occurred
Jun 2, 2022
Advisor changed firm
James Robert Peters left P••••• W••••• M••••••••• L•• for Palogic Value Management, L.P. (registered 2022-05-03)
Form ADVobserved 7 days ago
Occurred
Aug 1, 2014
First Form ADV filing
P••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0105113f-2b8f-e93c-e9f0-6ea184531f46
First observed: Aug 1, 2014
Last observed: Mar 28, 2022 54 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.