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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••••• I• F•••••••• P•••••••• L••

CRD 151980

SALEM, VA

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Search this name across graphsid dfx:ria:80522893-c1a8-1af4-633c-4db3a0982d5f

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 0
Observed: Jan 12, 2012 to Mar 23, 2026
18 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $914MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $914M
Private client RAUM: $904MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
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•••• E••••• P••••••	Certified Financial Planner\|Personal Financial Specialist	SALEM, VA	16	35	1	no
P••••• D••••• P••••••	Certified Financial Planner	SALEM, VA	16	25

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
B••••• R••••••• K••••	MEMBER AND CHIEF INVESTMENT OFFICER	C	yes	01/2015	Mar 11, 2015	Feb 22, 2024
P••••••• J••••• E•••••	MANAGING MEMBER	C	yes	10/2009	Jan 12, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
Charleston	Sc	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

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	1	-1	14.3%	0	0	0	0	1

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	$914M	$780M	17.2%	$618M	13.9%	14	13	1	1

Relationships

Registered with (9)

← S••• L•••••• E••••••Advisorregistration: current employment
Mar 22, 2026 to presentfactForm ADV
← S••••••• C•••••Advisorregistration: current employment
Feb 12, 2023 to presentfactForm ADV
← C••••••••• W•••••• B•••••Advisorregistration: current employment
Mar 25, 2016 to presentfactForm ADV
← S•••••• C••••••••• B•••

Dated events

Occurred
May 5, 2026
Advisor changed firm
Todd D Dalton left P••••••• I• F•••••••• P•••••••• L•• for Greenbrier Financial (registered 2026-05-14)
Form ADVobserved 7 days ago
Occurred
Aug 24, 2022
Advisor changed firm
Joseph Schmidt left P••••••• I• F•••••••• P•••••••• L•• for Sunrise Personal Finance (registered 2022-09-03)
Form ADVobserved 7 days ago
Occurred
Mar 23, 2021
Regulatory AUM changed
P••••••• I• F•••••••• P•••••••• L•• reported RAUM $622.9M, up 30% from $478.2M (2020-06-25 to 2021-03-23)
Form ADVobserved 7 days ago
$145M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80522893-c1a8-1af4-633c-4db3a0982d5f
First observed: Jan 12, 2012
Last observed: Mar 23, 2026 6 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	Mar 23, 2026	$914M	$914M	14	8	1	n/a	n/a
2024	Feb 21, 2025	$780M	$780M	13	7	1	n/a	n/a
2023	Feb 22, 2024	$709M	$709M	12	8	1	n/a	n/a
2022	Feb 17, 2023	$618M	$618M	12	8	1	n/a	n/a
2021	Jan 12, 2022	$678M	$678M	11	8	1	n/a	n/a
2020	Mar 23, 2021	$623M	$623M	11	8	0	n/a	n/a
2019	Apr 12, 2020	$478M	$478M	10	7	0	n/a	n/a
2018	Mar 20, 2019	$480M	$480M	11	7	0	n/a	n/a
2017	Mar 8, 2018	$479M	$479M	9	6	0	n/a	n/a
2016	Mar 10, 2017	$410M	$410M	10	6	n/a	n/a	n/a
2015	Mar 28, 2016	$355M	$355M	10	6	n/a	n/a	n/a
2014	Mar 11, 2015	$338M	$338M	9	4	n/a	n/a	n/a
2013	Mar 8, 2014	$314M	$281M	8	4	n/a	n/a	n/a
2012	Mar 20, 2013	$236M	$236M	7	4	n/a	n/a	n/a
2011	Jan 12, 2012	$188M	$188M	n/a	n/a	n/a	n/a	n/a