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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

PORTIA ADVISORS, LLC

CRD 170906

ALBANY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d45c5e39-eda3-d8ff-8481-b707d46f6c34

Data as of Feb 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 3, 2014 to Feb 11, 2015
3 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
SEC number: 801-79587
CRD: 170906
Filings on the tape: 3
First filed: Apr 3, 2014
Latest filed: Feb 11, 2015
Organised: Limited Liability Company, Delaware

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
FLOOD, KEITH, OWEN	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Apr 3, 2014	Feb 11, 2015
INTERIM HOLDINGS, LLC	Member	E	yes	03/2014	Apr 3, 2014	Feb 11, 2015
PKS HOLDINGS, LLC	MANAGING MEMBER	E	yes	04/2013	Apr 3, 2014	Feb 11, 2015
PRO TEM HOLDINGS, LLC	Manager	Na	yes	03/2014	Apr 3, 2014	Feb 11, 2015
PURCELL, JOHN, PETER	Member	C	yes	12/1995	Apr 3, 2014	Feb 11, 2015
STAFF, MICHAEL, THEODORE	Member	C	yes	12/1995	Apr 3, 2014	Feb 11, 2015

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
PKS ADVISORY SERVICES, LLC	n/a	Independent wealth	$1.1B	N	yes	n/a
PKS FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
PURSHE KAPLAN STERLING INVESTMENTS, INC.	n/a	n/a	n/a	N	yes	n/a

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
2014	Feb 11, 2015	n/a	n/a	1	0	n/a	n/a	n/a

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
2014	n/a	n/a	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ PKS ADVISORY SERVICES, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← PURCELL, JOHN, PETEROwnerMEMBER, ownership code C, individual
Apr 3, 2014 to presentfactForm ADV
← FLOOD, KEITH, OWENOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 3, 2014 to presentfactForm ADV
← STAFF, MICHAEL, THEODOREOwnerMEMBER, ownership code C, individual
Apr 3, 2014 to presentfactForm ADV
← INTERIM HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Apr 3, 2014 to presentfactForm ADV
← PKS HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Apr 3, 2014 to presentfactForm ADV
← PRO TEM HOLDINGS, LLCOwnerMANAGER, ownership code NA, domestic entity
Apr 3, 2014 to presentfactForm ADV

Dated events

Occurred
Apr 3, 2014
First Form ADV filing
Portia Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d45c5e39-eda3-d8ff-8481-b707d46f6c34
First observed: Apr 3, 2014
Last observed: Feb 11, 2015 141 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.

PORTIA ADVISORS, LLC

CRD 170906

ALBANY, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d45c5e39-eda3-d8ff-8481-b707d46f6c34

Data as of Feb 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:01 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FLOOD, KEITH, OWEN

CHIEF COMPLIANCE OFFICER

yes

03/2014

Apr 3, 2014

Feb 11, 2015

INTERIM HOLDINGS, LLC

Member

yes

03/2014

Apr 3, 2014

Feb 11, 2015

PKS HOLDINGS, LLC

MANAGING MEMBER

yes

04/2013

Apr 3, 2014

Feb 11, 2015

PRO TEM HOLDINGS, LLC

Manager

yes

03/2014

Apr 3, 2014

Feb 11, 2015

PURCELL, JOHN, PETER

Member

yes

12/1995

Apr 3, 2014

Feb 11, 2015

STAFF, MICHAEL, THEODORE

Member

yes

12/1995

Apr 3, 2014

Feb 11, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PKS ADVISORY SERVICES, LLC

n/a

Independent wealth

$1.1B

yes

n/a

PKS FINANCIAL SERVICES, INC.

n/a

yes

n/a

PURSHE KAPLAN STERLING INVESTMENTS, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Feb 11, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

n/a