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P•••••••• E••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P•••••••• E••••••••• I•••

CRD 129123

WARREN, NJ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:24a9b187-1b92-7cb4-9df8-c6235d3e0c7b

Data as of Apr 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 1
Observed: Mar 12, 2012 to Apr 4, 2022
14 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P•••••••• E••••••••• I•••

Investment consultant · shared crd

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 45
Advisory employees: 37
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

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
S••••• M••••••• A•••	CO-FOUNDER	C	yes	09/1992	Mar 12, 2012	Apr 4, 2022
T••••••••• R••••••	CO-FOUNDER	C	yes	09/1992	Mar 12, 2012

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
C••••••••• P•••••••• L••	n/a	Institutional manager	$1237B	N	yes	n/a
C••••••••• S••••••••• L•••	n/a	Former SEC adviser	$116B	N	no

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
2021	Apr 4, 2022	n/a	n/a	45	37	0	n/a	n/a
2020

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	n/a	n/a	n/a	n/a	n/a	45	45	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••	2	Aug 30, 2022	Mar 30, 2022	n/a	Team lift out	Other	100.0%

Relationships

Affiliated with (3)

→ C••••••• FINANCIAL ADVISORSRegistered adviserbroker-dealer
factForm ADV
→ C•••••••Registered adviserother investment adviser, common control
factForm ADV
→ WORLD INVESTMENT ADVISORS, LLCRegistered adviserother investment adviser
factForm ADV

Controls (3)

← S••••• M••••••• A•••OwnerCO-FOUNDER, ownership code C, individual

Dated events

Occurred
Aug 30, 2022
Team lift-out
2 advisors left P•••••••• E••••••••• I••• for Captrust on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Aug 30, 2022
Advisor changed firm
Attila Thomas Toth left P•••••••• E••••••••• I••• for Captrust (registered 2022-03-25)
Form ADVobserved 7 days ago
Occurred
Aug 30, 2022
Advisor changed firm
Michael Alan Sasso left P•••••••• E••••••••• I••• for Captrust (registered 2022-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:24a9b187-1b92-7cb4-9df8-c6235d3e0c7b
First observed: Mar 12, 2012
Last observed: Apr 4, 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.