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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

P••••• F•••••••• S•••••••• L••

CRD 153132

DEER PARK, IL

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Search this name across graphsid dfx:ria:9d38d68e-1525-7899-ed0c-824b44c2931d

Data as of Apr 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 9
On other graphs: 1
Observed: Mar 19, 2015 to Apr 21, 2025
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P••••• F•••••••• S•••••••• L••

Investment consultant · shared crd

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: $0Item 5.F on the latest filing (2025-04-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Offices

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
D•••••••• C••••••••• M••••••	CHIEF EXECUTIVE OFFICER	Na	yes	12/2016	Mar 7, 2017	Nov 12, 2024
F••••••• W••••• R•	Manager	D	yes	01/2001	Sep 29, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•• P••••• G•••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Offices

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

City	State	Country	Employees	Also broker-dealer
OKLAHOMA CITY	Ok	United States	1	yes
Dallas	TX	United States	1	yes

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
2024

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
2024	$0	n/a	n/a	n/a	n/a	8	8	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I•• W••••• M••••••••• L••	2	Apr 9, 2025	Apr 8, 2025	NORTHLAKE, TX	Team lift out	Other	66.7%

Relationships

Registered with (7)

← NIKKI DANYEL WALTONAdvisorregistration: previous registration
Feb 22, 2021 to Apr 9, 2025factForm ADV
← PAMELA D. APPELLAdvisorregistration: previous registration
Oct 11, 2016 to Apr 9, 2025factForm ADV
← KEITH RICHARD HAMANNAdvisorregistration: previous registration
Jan 31, 2017 to Apr 9, 2025factForm ADV
← ALLISON LORRAINE Law-Tatko

Dated events

Occurred
Jun 2, 2025
Left the SEC roster
P••••• F•••••••• S•••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02)
Form ADVobserved 7 days ago
0 USD_RAUM
Occurred
Apr 9, 2025
Team lift-out
2 advisors left P••••• F•••••••• S•••••••• L•• (Northlake, TX) for I•• W••••• M••••••••• L•• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Apr 9, 2025
Advisor changed firm
Pamela D. Appell left P••••• F•••••••• S•••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-04-08)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d38d68e-1525-7899-ed0c-824b44c2931d
First observed: Mar 19, 2015
Last observed: Apr 21, 2025 17 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.