DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•• M•••• M•••••••

P••• & CO. WEALTH MANAGEMENT, INC., CRD 331617

ATASCADERO, CA

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Search this name across graphsid dfx:ria:a37a52dc-451b-a3bc-f8a4-107cfa560195

Data as of Jan 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 2, 2024 to Jan 23, 2026
8 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=0.85 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $165M••• Locked
Discretionary RAUM: $165M
Private client RAUM: $140Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $82.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• A••••• P••••••	Certified Financial Planner	ATASCADERO, CA	2	18	3	no
S•••• M•••• A•••••••	n/a	ATASCADERO, CA	2	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• P•••• A•••••	CEO/CCO	E	yes	12/2015	Jul 2, 2024	Oct 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 23, 2026

Advisor flows

••• Locked

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	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$165M	$132M	25.1%	n/a	n/a	2	2	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••• M•••••••• I•••	2	Oct 21, 2024	Aug 6, 2024	LAS VEGAS, NV	Team lift out	RIA to new firm	40.0%

Relationships

Registered with (2)

← P••• A••••• P••••••Advisorregistration: current employment
Aug 6, 2024 to presentfactForm ADV
← S•••• M•••• A•••••••Advisorregistration: current employment
Aug 6, 2024 to presentfactForm ADV

Controls (1)

← P••••••• P•••• A•••••OwnerCEO/CCO, ownership code E, individual
Jul 2, 2024 to Oct 25, 2024factForm ADV

Moved with (1)

Dated events

Occurred
Oct 21, 2024
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Jul 2, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a37a52dc-451b-a3bc-f8a4-107cfa560195
First observed: Jul 2, 2024
Last observed: Jan 23, 2026 8 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.