DFX Intelligence

P••••••••• P••••••• S•••••••: 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••••••••• P••••••• S•••••••

PPS ADVISORS, INC., CRD 152702

HOLBROOK, NY

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Search this name across graphsid dfx:ria:243b7773-da65-1468-9a78-a1de9dcf2780

Data as of Jul 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2012 to Jul 26, 2017
21 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: $363M••• Locked
Discretionary RAUM: $352M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 18
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• G••• J••••	CHIEF OPERATING OFFICER	B	yes	01/2010	Jan 20, 2012	Jul 26, 2017
M•••••• D••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2015	Mar 26, 2015	Jul 26, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Jupiter	FL	United States	n/a	no
Smithtown	NY	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$363M	$340M	6.7%	$356M	0.7%	18	22	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• P••••••••• A•••••••• I••	10	Mar 27, 2018	Jan 11, 2018	HOLBROOK, NY	Firm absorbed	Other	83.3%
B•••••••• F•••••••• W••••• A••••••• L••	2	Jul 13, 2017

Relationships

Controls (3)

← P••••••••• L•••••••• N•••••••OwnerCHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, ownership code E, individual
Jan 20, 2012 to presentfactForm ADV
← M•••••• D••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2015 to presentfactForm ADV
← C••••••••• G••• J••••OwnerCHIEF OPERATING OFFICER, ownership code B, individual
Jan 20, 2012 to presentfactForm ADV

Registered with (20)

← L••••••• N••••••• P•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:243b7773-da65-1468-9a78-a1de9dcf2780
First observed: Jan 20, 2012
Last observed: Jul 26, 2017 111 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.