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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$28.4MItem 5.F on the latest filing (2022-09-14); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$0

Private client RAUM

$28.4MderivedItem 5.D individuals plus high net worth individuals

Private client share

100%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$28.4Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

1

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

196

Individual clients

173

High net worth clients

7

Custody, client assets

$15.6M

SEC number

801-124977

CRD

319410

Filings on the tape

6

First filed

Apr 8, 2022

Latest filed

Sep 14, 2022

Organised

Sole Proprietorship, California

• Occurred

  Apr 8, 2022
  First Form ADV filing

  Pb Capital filed its initial SEC registration (Form ADV)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:87e0ca26-a58e-33c3-a83e-a7b96fd1f558

First observed

Apr 8, 2022

Last observed

Sep 14, 2022 48 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.