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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

P••••• F•••••••• C•••••••••

CRD 135470

ALAMEDA, CA

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Search this name across graphsid dfx:ria:ae8255d4-d31b-932b-5e07-96d45b7a53aa

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to May 12, 2026
32 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: institutional managerderivedprivate_client_share=0.09 fund_share=0.0 institutional_share=0.91 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $683MItem 5.F on the latest filing (2026-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $683M
Private client RAUM: $61.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 9%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
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••••• M•••• W••••••	Chartered Financial Analyst	Santa Monica, CA \| ALAMEDA, CA	1	13	n/a	no
W•••••• F•••• K•• S•••••	Certified Financial Planner\|Chartered Financial Analyst	ALAMEDA, CA	0

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
F••••••• Y••••••• W•••••••	President	A	yes	10/2021	Oct 11, 2021	Sep 19, 2024
S•••••• W••••••• F•••• K••	CEO, CFO AND DIRECTOR	D	yes	03/2005	Mar 30, 2012

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; showing 15 of 16

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
1	0	1	0.0%	0	0	0	1	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	$683M	$793M	-14.0%	$787M	-4.6%	10	8	0	0

Relationships

Registered with (4)

← J•••• A••••• M•••••Advisorregistration: current employment
Dec 22, 2025 to presentfactForm ADV
← W•••••• F•••• K•• S•••••Advisorregistration: current employment
Dec 5, 2025 to presentfactForm ADV
← J••••• M•••• W••••••Advisorregistration: current employment
Mar 5, 2025 to presentfactForm ADV
← STEPHEN LEE BLOCK

Dated events

Occurred
Feb 15, 2024
Advisor changed firm
Stephen Lee Block left P••••• F•••••••• C••••••••• for Elevation Wealth Partners, Llc (registered 2023-10-11)
Form ADVobserved 6 days ago
Occurred
Oct 11, 2021
Control person joined
Waggoner Yolanda Foreman (President) appeared on Schedule A of P••••• F•••••••• C•••••••••
Form ADVobserved 6 days ago
Occurred
Mar 30, 2018
Regulatory AUM changed
P••••• F•••••••• C••••••••• reported RAUM $1.3B, down 25% from $1.7B (2017-03-31 to 2018-03-30)
Form ADVobserved 6 days ago
$-425M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae8255d4-d31b-932b-5e07-96d45b7a53aa
First observed: Mar 30, 2012
Last observed: May 12, 2026 4 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	Apr 23, 2026	$683M	$683M	10	5	0	n/a	n/a
2024	Mar 24, 2025	$793M	$793M	8	4	0	n/a	n/a
2023	Mar 27, 2024	$796M	$796M	8	4	0	n/a	n/a
2022	Mar 28, 2023	$787M	$787M	10	5	0	n/a	n/a
2021	Mar 21, 2022	$924M	$924M	10	5	0	n/a	n/a
2020	Mar 26, 2021	$743M	$743M	12	6	0	n/a	n/a
2019	Mar 31, 2020	$906M	$906M	11	6	0	n/a	n/a
2018	Mar 28, 2019	$959M	$959M	11	5	0	n/a	n/a
2017	Mar 30, 2018	$1.3B	$1.3B	11	7	0	n/a	n/a
2016	Mar 30, 2017	$1.7B	$1.7B	10	6	n/a	n/a	n/a
2015	Mar 30, 2016	$1.4B	$1.4B	9	5	n/a	n/a	n/a
2014	Mar 31, 2015	$1.3B	$1.3B	8	5	n/a	n/a	n/a
2013	Apr 2, 2014	$1.0B	$1.0B	8	4	n/a	n/a	n/a
2012	Mar 27, 2013	$1.0B	$1.0B	9	4	n/a	n/a	n/a
2011	Mar 30, 2012	$1.1B	$1.1B	n/a	n/a	n/a	n/a	n/a