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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

P••••• F••••••••• L••

CRD 324261

PASADENA, CA

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Search this name across graphsid dfx:ria:5e0a194a-ca01-4173-a2e5-53265117d3b3

Data as of Jul 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 17, 2023 to Jul 27, 2023
5 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: $5.7MItem 5.F on the latest filing (2023-07-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $5.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

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
J•••••• D••••• P•••••	n/a	PASADENA, CA	3	32	2	no
M•••••• R••• C•••••• P•••••	n/a	PASADENA, CA	3	18

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
P•••••• J••••••• D•••••	MANAGING MEMBER	C	yes	01/2023	Feb 17, 2023	Jul 27, 2023
P•••••• M••••••• R••• C••••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	01/2023	Feb 17, 2023

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

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• F•••••••• G••••• L••	2	Mar 22, 2023	Mar 21, 2023	SAN DIEGO, CA	Team lift out	Ibd to new firm	0.5%

Relationships

Controls (2)

← P•••••• J••••••• D•••••OwnerMANAGING MEMBER, ownership code C, individual
Feb 17, 2023 to presentfactForm ADV
← P•••••• M••••••• R••• C••••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 17, 2023 to presentfactForm ADV

Registered with (2)

← J•••••• D••••• P•••••Advisorregistration: current employment
Mar 21, 2023 to presentfactForm ADV
← M•••••• R••• C•••••• P•••••

Dated events

Occurred
Mar 22, 2023
Team lift-out
2 advisors left I••••••••• F•••••••• G••••• L•• (San Diego, CA) for P••••• F••••••••• L•• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Feb 17, 2023
First Form ADV filing
P••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e0a194a-ca01-4173-a2e5-53265117d3b3
First observed: Feb 17, 2023
Last observed: Jul 27, 2023 38 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.