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.

Firm class

independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$254MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$254M

Private client RAUM

$244MderivedItem 5.D individuals plus high net worth individuals

Private client share

96%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$127Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

215

Individual clients

30

High net worth clients

51

SEC number

801-85174

CRD

137393

Filings on the tape

25

First filed

Mar 24, 2015

Latest filed

Mar 19, 2026

Organised

Corporation, CA

• Occurred

  Mar 24, 2015
  First Form ADV filing

  Pollock Investment Advisory Corporation filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1570247e-5115-8c8d-afe1-3ec7e15fa3e0

First observed

Mar 24, 2015

Last observed

Mar 19, 2026 6 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.