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.

Former SEC-registered adviser

P•••• I•••

Former SEC-registered adviserMilwaukee, WisconsinCRD 105154SEC 801-25182IAPD
Legal name P••• P•••• C•••••• M••••••••• I•••
Latest filing Feb 23, 2017
First filing on the tape Mar 9, 2012 · 11 filings
RAUM
$802M
reported, Item 5.F
Discretionary
32%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$802M as of Feb 23, 2017
Mar 9, 2012$378M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 23, 2017
Mar 1, 20131 then
Employees (5.A)7 as of Feb 23, 2017
Mar 1, 20134 then
Private funds: no history
RAUM +1.8% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 2017; every figure names its basis
RAUM per advisor
$401MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$5.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
32%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$1.2M, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
140reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$1.2M for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••••• K•••••••• A••• · Senior Consultant And Vice Presidentcontrol
    since 05/2015 · owns less than 5%
  • F•••• L••• A••••• · Director Of Financial Services, Executive Vice President And Chief Compliance Officer (01/2017)control
    since 05/2015 · owns less than 5%
  • P••••• W••••••• M•••••• · Presidentcontrol
    since 07/1985 · owns 75% or more
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 · 125 to 140
    Mar 15, 2016 to Feb 23, 2017
  • Assets in custody · $107,366 to $1.2M
    Mar 15, 2016 to Feb 23, 2017
  • Discretionary RAUM · $271M to $253M
    Mar 15, 2016 to Feb 23, 2017
  • Non-discretionary RAUM · $517M to $549M
    Mar 15, 2016 to Feb 23, 2017
  • RAUM · $788M to $802M
    Mar 15, 2016 to Feb 23, 2017
  • Accounts · 116 to 125
    Jun 8, 2015 to Mar 15, 2016
  • Assets in custody · $31,288 to $107,366
    Jun 8, 2015 to Mar 15, 2016
  • Employees · 6 to 7
    Jun 8, 2015 to Mar 15, 2016
  • Financial planning clients · 0 to 1-10
    Jun 8, 2015 to Mar 15, 2016
  • State-registered IARs · 3 to 2
    Jun 8, 2015 to Mar 15, 2016
  • Discretionary RAUM · $200M to $271M
    Jun 8, 2015 to Mar 15, 2016
  • Non-discretionary RAUM · $590M to $517M
    Jun 8, 2015 to Mar 15, 2016
  • RAUM · $791M to $788M
    Jun 8, 2015 to Mar 15, 2016
  • Accounts · 82 to 116
    Jul 21, 2014 to Mar 6, 2015
  • Business name · P••• I••• to P•••• I•••
    Jul 21, 2014 to Mar 6, 2015
  • Assets in custody · $104,849 to $31,288
    Jul 21, 2014 to Mar 6, 2015
  • Custody of client assets · false to true
    Jul 21, 2014 to Mar 6, 2015
  • Employees · 7 to 6
    Jul 21, 2014 to Mar 6, 2015
  • Discretionary RAUM · $148M to $200M
    Jul 21, 2014 to Mar 6, 2015
  • Non-discretionary RAUM · $286M to $590M
    Jul 21, 2014 to Mar 6, 2015
  • RAUM · $433M to $791M
    Jul 21, 2014 to Mar 6, 2015
  • Legal name · P•••• C•••••• M••••••••• I•• to P••• P•••• C•••••• M••••••••• I•••
    May 1, 2014 to Jul 21, 2014
  • Advisory employees · 2 to 3
    Mar 10, 2014 to May 1, 2014
  • Employees · 5 to 7
    Mar 10, 2014 to May 1, 2014
  • State-registered IARs · 2 to 3
    Mar 10, 2014 to May 1, 2014
  • Accounts · 87 to 82
    Dec 20, 2013 to Mar 10, 2014
  • Advisory employees · 1 to 2
    Dec 20, 2013 to Mar 10, 2014
  • Employees · 4 to 5
    Dec 20, 2013 to Mar 10, 2014
  • State-registered IARs · 1 to 2
    Dec 20, 2013 to Mar 10, 2014
  • Discretionary RAUM · $159M to $148M
    Dec 20, 2013 to Mar 10, 2014
  • Non-discretionary RAUM · $248M to $286M
    Dec 20, 2013 to Mar 10, 2014
  • RAUM · $408M to $433M
    Dec 20, 2013 to Mar 10, 2014
  • Assets in custody · unset to 104849.0
    Mar 1, 2013 to Dec 20, 2013
  • Accounts · 95 to 87
    Jun 25, 2012 to Mar 1, 2013
  • Advisory employees · unset to 1.0
    Jun 25, 2012 to Mar 1, 2013
  • Employees · unset to 4.0
    Jun 25, 2012 to Mar 1, 2013
  • State-registered IARs · unset to 1.0
    Jun 25, 2012 to Mar 1, 2013
  • Discretionary RAUM · $154M to $159M
    Jun 25, 2012 to Mar 1, 2013
  • Non-discretionary RAUM · $224M to $248M
    Jun 25, 2012 to Mar 1, 2013
  • RAUM · $378M to $408M
    Jun 25, 2012 to Mar 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026