DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•• I••••••••• M•••••••••
Legal name P• J• S•••••• I••••••••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Jan 20, 1982
RAUM
$852M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$811M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
18
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$852M as of Mar 27, 2026
Mar 28, 2012$391M then
HNW client RAUM$722M as of Mar 27, 2026
Mar 30, 2018$451M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 28, 20120 then
Employees (5.A)18 as of Mar 27, 2026
Mar 26, 20139 then
Private funds: no history
RAUM +8.2% over the last fiscal year+10% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $622,814derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $604M, 378 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$722M85%
- Individuals$88.7M10%
- Pension and profit-sharing plans$23.8M2.8%
- Charitable organizations$16.2M1.9%
- Corporations and businesses$1.3M0.2%
- Individual clients
- 266reported
- HNW clients
- 188reported
- Pension plan clients
- 9reported
- Charitable clients
- 5reported
- Accounts
- 1,368reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $604M for 378 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• N••••• S••••••••• | Cedarburg, Wi | Feb 21, 2001 | 26 y | 0 |
| J•••• S•••• L••••Certified Financial Planner | Cedarburg, Wi | Mar 13, 2014 | 19 y | 3 |
| S•••• M•••••• C••••• | Cedarburg, Wi | Nov 5, 2018 | 15 y | 2 |
| K••••• E•••••••• W••••• | Cedarburg, Wi | Sep 3, 2021 | 11 y | 0 |
| K•••• S•• M••••• | Cedarburg, Wi | Jan 1, 2025 | 23 y | 0 |
| E••• E• C••••••••• | Cedarburg, Wi | Jun 12, 2025 | 11 y | 0 |
| D•••• A••• G•••••• | Cedarburg, Wi | Jun 9, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- N••••••• A••••• Z••••• to S••••••••• W••••• M••••••••• L••Jan 9, 2018 · Other
Joined, latest
- S•••• M•••••• C••••• from P•••• I•••Nov 5, 2018 · Other
- J•••• S•••• L•••• from L•••• L•••• C•••••• M••••••••• L••Mar 13, 2014 · Other
- N••••••• A••••• Z••••• from H•••• F••••••••Nov 21, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S••••• M•••••• · Directorcontrolsince 02/2021 · owns less than 5%
- L••••• J••••• S•••• · Executive Vice Presidentcontrolsince 02/2020 · owns less than 5%
- M•••••• K••••• S•• · Secretarycontrolsince 09/2016 · owns less than 5%
- S••••••• J••••• A• · Treasurer/Ownercontrolsince 11/2017 · owns 10% to 25%
- S••••••• K•••• S••••••••• · Owner/Directorcontrolsince 12/2021 · owns 10% to 25%
- S••••••••• P••••••• N••••• · Cco/President/Ownercontrolsince 11/2018 · owns 10% to 25%
- S••••••• E••••••••• N••••• · Ownersince 12/1981 · owns 10% to 25%
- S••••••• J•••••• S••••••••• · Ownersince 12/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cedarburg, Wi · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,320 to 1,368Mar 26, 2025 to Mar 27, 2026
- HNW clients · 187 to 188Mar 26, 2025 to Mar 27, 2026
- Individual clients · 275 to 266Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $529M to $604MMar 26, 2025 to Mar 27, 2026
- Employees · 17 to 18Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $766M to $827MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $656M to $722MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $95.1M to $88.7MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $21.5M to $25.3MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $20.6M to $23.8MMar 26, 2025 to Mar 27, 2026
- RAUM · $787M to $852MMar 26, 2025 to Mar 27, 2026
- Accounts · 1,260 to 1,320Oct 1, 2024 to Mar 26, 2025
- HNW clients · 189 to 187Oct 1, 2024 to Mar 26, 2025
- Individual clients · 243 to 275Oct 1, 2024 to Mar 26, 2025
- Pension plan clients · 14 to 9Oct 1, 2024 to Mar 26, 2025
- Assets in custody · $502M to $529MOct 1, 2024 to Mar 26, 2025
- Employees · 15 to 17Oct 1, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Oct 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $701M to $766MOct 1, 2024 to Mar 26, 2025
- HNW RAUM · $604M to $656MOct 1, 2024 to Mar 26, 2025
- Individual RAUM · $72.0M to $95.1MOct 1, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $19.7M to $21.5MOct 1, 2024 to Mar 26, 2025
- Pension RAUM · $25.0M to $20.6MOct 1, 2024 to Mar 26, 2025
- RAUM · $720M to $787MOct 1, 2024 to Mar 26, 2025
- Accounts · 1,204 to 1,260Nov 21, 2023 to Mar 26, 2024
- Charity clients · 6 to 5Nov 21, 2023 to Mar 26, 2024
- Corporate clients · 5 to 6Nov 21, 2023 to Mar 26, 2024
- HNW clients · 190 to 189Nov 21, 2023 to Mar 26, 2024
- Individual clients · 229 to 243Nov 21, 2023 to Mar 26, 2024
- Pension plan clients · 20 to 14Nov 21, 2023 to Mar 26, 2024
- Assets in custody · $451M to $502MNov 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $613M to $701MNov 21, 2023 to Mar 26, 2024
- HNW RAUM · $534M to $604MNov 21, 2023 to Mar 26, 2024
- Individual RAUM · $56.5M to $72.0MNov 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $24.9M to $19.7MNov 21, 2023 to Mar 26, 2024
- Pension RAUM · $29.8M to $25.0MNov 21, 2023 to Mar 26, 2024
- RAUM · $638M to $720MNov 21, 2023 to Mar 26, 2024
- Accounts · 1,139 to 1,204Mar 4, 2022 to Mar 23, 2023
- Advisory employees · 7 to 6Mar 4, 2022 to Mar 23, 2023
- Charity clients · 3 to 6Mar 4, 2022 to Mar 23, 2023
Signals
4 dated events
- S••••••••• K••• S•••••• (Owner/Director) appeared on Schedule A of P•• I••••••••• M•••••••••Mar 4, 2022 · Control person joined · fact
- Michael Scott Conger (Director) appeared on Schedule A of P•• I••••••••• M•••••••••Mar 4, 2022 · Control person joined · fact
- James Phillip S•••••• (Executive Vice President/Board Chairman/Owner) no longer on Schedule A of P•• I••••••••• M••••••••• (listed 2021-03-30, absent 2022-03-04)Mar 4, 2022 · Control person left · inference
- Scott Jason Lacey (Vice President) appeared on Schedule A of P•• I••••••••• M•••••••••Mar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 262-377-0484reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-377-0484reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 262-375-9250reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pjs-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 262-377-0484reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- pjsinvestment.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pjsinvestment.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026