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.
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SEC-registered adviser
P•••••• C•••••• M••••••••• I••
Latest filing Jul 24, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Dec 5, 1984
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$125M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$148M as of Jul 24, 2026
Mar 29, 2012$164M then
HNW client RAUM$106M as of Jul 24, 2026
Mar 30, 2018$113M then
State-registered IARs (5.B.3)0 as of Jul 24, 2026
Mar 28, 20130 then
Employees (5.A)9 as of Jul 24, 2026
Mar 28, 20136 then
Private funds1 as of Mar 31, 2017
Mar 28, 20161 then
RAUM +16% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $6.7M, 2 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M72%
- Individuals$19.1M13%
- Charitable organizations$8.9M6.0%
- Corporations and businesses$7.2M4.9%
- Pension and profit-sharing plans$6.7M4.5%
- Individual clients
- 72reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 138reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $7.9M managedreported
- Custody of client assets
- $6.7M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• C•••••• P••••••Chartered Financial Analyst | Wayzata, Mn | Dec 12, 2025 | 46 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• P••••••• L•no longer reported | Hedge Fund | $1.9M | 9 | Mar 28, 2016 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• D•••••• S•••• · Chief Operating Officercontrolsince 06/2019 · owns 50% to 75%
- P••••••• R••••••• C•••••• · President/Chief Compliance Officercontrolsince 06/2019 · owns 50% to 75%
- L•••••••• H••••• A•••• L•• · Vice Presidentsince 03/1993 · owns less than 5%
- L•••••••• N••••• S•• · Avp Operationssince 01/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 148 to 138Mar 26, 2026 to Jul 24, 2026
- Advisory activities · 2 to 1Mar 26, 2026 to Jul 24, 2026
- HNW clients · 59 to 56Mar 26, 2026 to Jul 24, 2026
- Individual clients · 78 to 72Mar 26, 2026 to Jul 24, 2026
- Assets in custody · $7.1M to $6.7MMar 26, 2026 to Jul 24, 2026
- Discretionary RAUM · $139M to $148MMar 26, 2026 to Jul 24, 2026
- HNW RAUM · $96.7M to $106MMar 26, 2026 to Jul 24, 2026
- Individual RAUM · $16.1M to $19.1MMar 26, 2026 to Jul 24, 2026
- Pension RAUM · $5.7M to $6.7MMar 26, 2026 to Jul 24, 2026
- RAUM · $139M to $148MMar 26, 2026 to Jul 24, 2026
- Wrap assets (manager) · $5.7M to $7.9MMar 26, 2026 to Jul 24, 2026
- Accounts · 145 to 148Mar 27, 2025 to Mar 26, 2026
- HNW clients · 66 to 59Mar 27, 2025 to Mar 26, 2026
- Individual clients · 68 to 78Mar 27, 2025 to Mar 26, 2026
- Assets in custody · $5.8M to $7.1MMar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $127M to $139MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $89.8M to $96.7MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $13.6M to $16.1MMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $4.8M to $5.7MMar 27, 2025 to Mar 26, 2026
- RAUM · $127M to $139MMar 27, 2025 to Mar 26, 2026
- Wrap assets (manager) · $4.9M to $5.7MMar 27, 2025 to Mar 26, 2026
- Accounts · 151 to 145Mar 21, 2024 to Mar 27, 2025
- HNW clients · 73 to 66Mar 21, 2024 to Mar 27, 2025
- Assets in custody · $5.4M to $5.8MMar 21, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $131M to $127MMar 21, 2024 to Mar 27, 2025
- HNW RAUM · $95.5M to $89.8MMar 21, 2024 to Mar 27, 2025
- Individual RAUM · $13.0M to $13.6MMar 21, 2024 to Mar 27, 2025
- Pension RAUM · $4.6M to $4.8MMar 21, 2024 to Mar 27, 2025
- RAUM · $131M to $127MMar 21, 2024 to Mar 27, 2025
- Wrap assets (manager) · $3.4M to $4.9MMar 21, 2024 to Mar 27, 2025
- Accounts · 155 to 151Mar 29, 2023 to Mar 21, 2024
- HNW clients · 75 to 73Mar 29, 2023 to Mar 21, 2024
- Individual clients · 70 to 68Mar 29, 2023 to Mar 21, 2024
- Assets in custody · $4.9M to $5.4MMar 29, 2023 to Mar 21, 2024
- Discretionary RAUM · $115M to $131MMar 29, 2023 to Mar 21, 2024
- HNW RAUM · $84.9M to $95.5MMar 29, 2023 to Mar 21, 2024
- Individual RAUM · $9.8M to $13.0MMar 29, 2023 to Mar 21, 2024
- Pension RAUM · $4.0M to $4.6MMar 29, 2023 to Mar 21, 2024
- RAUM · $115M to $131MMar 29, 2023 to Mar 21, 2024
Signals
1 dated events
- Wallace Richard Perkins (Deceased) no longer on Schedule A of P•••••• C•••••• M••••••••• I•• (listed 2020-06-25, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
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
- Website
- P••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 952-473-8367reportedpublic record, Form ADV, Jul 24, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026