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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••• E••••• P•••••••

P••••• E••••• P•••••••, LLC, CRD 126765

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Search this name across graphsid dfx:ria:371d3fb9-db40-6e6d-7530-c9277c8881bb

Data as of Apr 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: Mar 29, 2012 to Apr 17, 2026
34 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: independent wealth managerderivedprivate_client_share=0.78 fund_share=0.22 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $187MItem 5.F on the latest filing (2026-04-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $42.0M
Private client RAUM: $145MderivedItem 5.D individuals plus high net worth individuals
Private client share: 78%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
A••••• H•••••• C•••••• L••	Owner	E	yes	08/2022	Aug 31, 2022	Sep 9, 2024
C••••••• T•••••	CHIEF EXECUTIVE OFFICER	B	yes	08/2022	Aug 31, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	3	no
HIGHLANDS RANCH	Co	United States	1	no
n/a	n/a	n/a	1	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; showing 15 of 17

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
2025	$187M	$33.0M	466.7%	$6.4B	-69.2%	1	1	0	0

Relationships

Owns (1)

← M••••••• T••••••• P••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 15, 2020 to Sep 9, 2024factForm ADV

Controls (3)

← F•••••••• M••••••• J•••••••OwnerOWNER, ownership code D, individual
Aug 31, 2022 to Sep 9, 2024factForm ADV
← C••••••• T•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code B, individual
Aug 31, 2022 to Sep 9, 2024factForm ADV
← A••••• H•••••• C•••••• L••OwnerOWNER, ownership code E, domestic entity

Dated events

Occurred
Apr 8, 2025
Regulatory AUM changed
P••••• E••••• P••••••• reported RAUM $33.0M, down 100% from $6.7B (2025-02-14 to 2025-04-08)
Form ADVobserved 7 days ago
$-6.7B
Occurred
Aug 31, 2022
Control person joined
Jonathan Michael Faulkner (Owner) appeared on Schedule A of P••••• E••••• P•••••••
Form ADVobserved 7 days ago
Occurred
Aug 31, 2022
Control person joined
T••••• C•••••• (Chief Executive Officer) appeared on Schedule A of P••••• E••••• P•••••••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:371d3fb9-db40-6e6d-7530-c9277c8881bb
First observed: Mar 29, 2012
Last observed: Apr 17, 2026 5 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.

2025	Apr 17, 2026	$187M	$42.0M	1	1	0	n/a	n/a
2024	Apr 8, 2025	$33.0M	$33.0M	1	1	0	n/a	n/a
2023	Sep 29, 2023	$6.5B	$982M	44	16	3	n/a	n/a
2022	Aug 31, 2022	$6.4B	$1.4B	40	17	3	n/a	n/a
2021	Sep 29, 2021	$6.8B	$781M	49	23	4	n/a	n/a
2020	Sep 29, 2020	$6.0B	$1.8B	41	22	4	n/a	n/a
2019	Sep 27, 2019	$5.5B	$1.0B	42	22	4	n/a	n/a
2018	Sep 17, 2018	$5.1B	$1.2B	35	20	4	n/a	n/a
2017	Sep 27, 2017	$4.4B	$820M	30	17	n/a	n/a	n/a
2016	Sep 30, 2016	$4.9B	$942M	25	13	n/a	n/a	n/a
2015	Sep 28, 2015	$4.6B	$959M	26	12	n/a	n/a	n/a
2014	Oct 28, 2014	$4.2B	$862M	26	13	n/a	n/a	n/a
2013	Mar 31, 2014	$4.2B	$862M	26	13	n/a	n/a	n/a
2012	Mar 27, 2013	$3.6B	$454M	25	13	n/a	n/a	n/a
2011	Mar 29, 2012	$2.4B	$205M	n/a	n/a	n/a	n/a	n/a