DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

T•• P•••••••• G••••

CRD 147900

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Data as of Apr 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2012 to Apr 27, 2023
24 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
Regulatory AUM: $187M••• Locked
Discretionary RAUM: $104M
Private client RAUM: $187Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••• P••••••• J••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	01/2012	Sep 19, 2012	Apr 27, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• J• R••••• A••••••• A• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$187M	$203M	-7.9%	$191M	-0.8%	1	1	0	0

Relationships

Controls (1)

← R••••• P••••••• J••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 19, 2012 to presentfactForm ADV

Registered with (1)

← D•••• I••••• R••••Advisorregistration: previous registration
Jan 6, 2016 to May 1, 2018factForm ADV

Dated events

Order

Occurred
19 Sep 2012
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 19, 2012
Last observed: Apr 27, 2023 41 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.