DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PERSONAL FINANCIAL PROFILES INC

CRD 109327

CORAL SPRINGS, FL

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:3e34a685-4edc-76d1-6bb4-c0e615b94225

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Feb 11, 2026
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: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $335MItem 5.F on the latest filing (2026-02-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $334M
Private client RAUM: $322MderivedItem 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: $168Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 2
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 369
Individual clients: 109
High net worth clients: 119
SEC number: 801-78068
CRD: 109327
Filings on the tape: 21
First filed: Mar 30, 2012
Latest filed: Feb 11, 2026
Organised: Corporation, FL
Website: pfprofiles.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
FRANK THOMAS PUGLIESE	n/a	CORAL SPRINGS, FL	33	47	n/a	no
DAVID MICHAEL MAGGIO	n/a	NAPLES, FL \| CORAL SPRINGS, FL	13	30	3	yes

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
MAGGIO, DAVID, MICHAEL	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	04/2013	May 10, 2013	Feb 12, 2024
PUGLIESE, FRANK, THOMAS	CHAIRMAN-EMERITUS	Na	yes	07/1991	Mar 30, 2012	Feb 12, 2024

Offices

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

City	State	Country	Employees	Also broker-dealer
Naples	FL	United States	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 11, 2026	$335M	$334M	2	2	1	n/a	n/a
2024	Feb 19, 2025	$294M	$293M	2	2	1	n/a	n/a
2023	Feb 12, 2024	$274M	$273M	2	2	1	n/a	n/a
2022	Feb 9, 2023	$263M	$262M	2	2	1	n/a	n/a
2021	Feb 23, 2022	$326M	$325M	2	2	1	n/a	n/a
2020	Mar 30, 2021	$291M	$290M	2	2	1	n/a	n/a
2019	Mar 6, 2020	$271M	$271M	3	3	1	n/a	n/a
2018	Mar 5, 2019	$254M	$253M	3	3	1	n/a	n/a
2017	Mar 16, 2018	$269M	$269M	3	3	1	n/a	n/a
2016	Mar 21, 2017	$250M	$250M	3	3	n/a	n/a	n/a
2015	Feb 25, 2016	$217M	$216M	3	3	n/a	n/a	n/a
2014	Mar 30, 2015	$218M	$218M	3	3	n/a	n/a	n/a
2013	Mar 11, 2014	$154M	$154M	3	3	n/a	n/a	n/a
2011	Jun 1, 2012	$79.5M	$79.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$335M	$294M	14.1%	$263M	8.4%	2	2	1	1

Relationships

Registered with (3)

← DAVID MICHAEL MAGGIOAdvisorregistration: current employment
May 3, 2013 to presentfactForm ADV
← FRANK THOMAS PUGLIESEAdvisorregistration: current employment
Oct 30, 1992 to presentfactForm ADV
← DANIEL THOMAS JANKELUNASAdvisorregistration: previous registration
Nov 6, 1997 to Apr 14, 2005factForm ADV

Controls (2)

← MAGGIO, DAVID, MICHAELOwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
May 10, 2013 to Feb 12, 2024factForm ADV
← PUGLIESE, FRANK, THOMASOwnerCHAIRMAN-EMERITUS, ownership code NA, individual
Mar 30, 2012 to Feb 12, 2024factForm ADV

Dated events

Occurred
May 10, 2013
First Form ADV filing
Personal Financial Profiles Inc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3e34a685-4edc-76d1-6bb4-c0e615b94225
First observed: Mar 30, 2012
Last observed: Feb 11, 2026 7 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.

PERSONAL FINANCIAL PROFILES INC

CRD 109327

CORAL SPRINGS, FL

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:3e34a685-4edc-76d1-6bb4-c0e615b94225

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

FRANK THOMAS PUGLIESE

n/a

CORAL SPRINGS, FL

n/a

DAVID MICHAEL MAGGIO

n/a

NAPLES, FL | CORAL SPRINGS, FL

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

MAGGIO, DAVID, MICHAEL

PRESIDENT AND CHIEF COMPLIANCE OFFICER

yes

04/2013

May 10, 2013

Feb 12, 2024

PUGLIESE, FRANK, THOMAS

CHAIRMAN-EMERITUS

yes

07/1991

Mar 30, 2012

Feb 12, 2024

City

State

Country

Employees

Also broker-dealer

Naples

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 11, 2026

$335M

$334M

n/a

2024

Feb 19, 2025

$294M

$293M

n/a

2023

Feb 12, 2024

$274M

$273M

n/a

2022

Feb 9, 2023

$263M

$262M

n/a

2021

Feb 23, 2022

$326M

$325M

n/a

2020

Mar 30, 2021

$291M

$290M

n/a

2019

Mar 6, 2020

$271M

n/a

2018

Mar 5, 2019

$254M

$253M

n/a

2017

Mar 16, 2018

$269M

n/a

2016

Mar 21, 2017

$250M

n/a

2015

Feb 25, 2016

$217M

$216M

n/a

2014

Mar 30, 2015

$218M

n/a

2013

Mar 11, 2014

$154M

n/a

2011

Jun 1, 2012

$79.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$335M

$294M

14.1%

$263M

8.4%