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P••••• I••••••••• M••••••••• 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••••••••• M••••••••• L••

CRD 112798

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Search this name across graphsid dfx:ria:c95d70a0-64b4-1a10-143b-a6437b39226e

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 24, 2012 to Mar 18, 2026
17 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $725MItem 5.F on the latest filing (2026-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $725M
Private client RAUM: $725MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
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••• W•••• P•••••	n/a	ATHERTON, CA	16	16	n/a	no
S••••• L••	n/a	ATHERTON, CA	16	18

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
P•••••• J•••• W••••	MEMBER/OWNER	E	yes	06/2010	Mar 24, 2012	Mar 18, 2024
L••• S•••••	CHIEF COMPLIANCE OFFICER	Na	no	10/2016	Mar 6, 2017

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	0	0	0.0%	0	0	0	0	0

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	$725M	$665M	9.0%	$414M	20.6%	5	5	0	0

Relationships

Registered with (2)

← J••• W•••• P•••••Advisorregistration: current employment
May 17, 2010 to presentfactForm ADV
← S••••• LIUAdvisorregistration: current employment
May 17, 2010 to presentfactForm ADV

Controls (1)

← P•••••• J•••• W••••OwnerMEMBER/OWNER, ownership code E, individual
Mar 24, 2012 to Mar 18, 2024factForm ADV

Owns (1)

Dated events

Occurred
Mar 18, 2024
Regulatory AUM changed
P••••• I••••••••• M••••••••• L•• reported RAUM $536.4M, up 30% from $413.7M (2023-03-23 to 2024-03-18)
Form ADVobserved 6 days ago
$123M
Occurred
Mar 23, 2023
Regulatory AUM changed
P••••• I••••••••• M••••••••• L•• reported RAUM $413.7M, down 37% from $656.9M (2022-03-24 to 2023-03-23)
Form ADVobserved 6 days ago
$-243M
Occurred
Mar 29, 2021
Regulatory AUM changed
P••••• I••••••••• M••••••••• L•• reported RAUM $540.5M, up 26% from $429.1M (2020-06-26 to 2021-03-29)
Form ADVobserved 6 days ago
$111M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c95d70a0-64b4-1a10-143b-a6437b39226e
First observed: Mar 24, 2012
Last observed: Mar 18, 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 18, 2026	$725M	$725M	5	2	0	n/a	n/a
2024	Feb 25, 2025	$665M	$665M	5	2	0	n/a	n/a
2023	Mar 18, 2024	$536M	$536M	5	2	0	n/a	n/a
2022	Mar 23, 2023	$414M	$414M	5	2	0	n/a	n/a
2021	Mar 24, 2022	$657M	$657M	4	2	0	n/a	n/a
2020	Mar 29, 2021	$540M	$540M	4	2	0	n/a	n/a
2019	Mar 30, 2020	$429M	$429M	4	2	0	n/a	n/a
2018	Mar 14, 2019	$337M	$337M	4	2	0	n/a	n/a
2017	Mar 30, 2018	$359M	$357M	4	2	0	n/a	n/a
2016	Mar 6, 2017	$299M	$298M	4	2	n/a	n/a	n/a
2015	Mar 24, 2016	$283M	$283M	3	2	n/a	n/a	n/a
2014	Feb 20, 2015	$285M	$285M	3	2	n/a	n/a	n/a
2013	Mar 21, 2014	$271M	$271M	3	2	n/a	n/a	n/a
2012	Mar 7, 2013	$227M	$227M	3	2	n/a	n/a	n/a
2011	Mar 24, 2012	$249M	$249M	n/a	n/a	n/a	n/a	n/a