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•••••• L••• F••• A••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Nov 18, 2011 · 35 filings
SEC status approved since Feb 8, 1980
RAUM
$43B
reported, Item 5.F
Discretionary
100%
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
20
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$43B as of Mar 11, 2026
Mar 27, 2012$50B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 27, 20120 then
Employees (5.A)20 as of Mar 11, 2026
Mar 28, 2013253 then
Private funds1 as of Mar 11, 2026
Mar 30, 20151 then
RAUM +4.2% over the last fiscal year-1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $629MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$43B100%
- Pooled investment vehicles$60.6M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 68reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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•••••• L••• I••••••••• G•••• T•••• R••••••••• F••• L••• | Other Private Fund | $54.8M | 2 | Jan 29, 2020 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• H•••••• T•••• · Senior Vice Presidentcontrolsince 12/2014 · owns less than 5%
- M•••••••• L••••••• E••• · Chief Compliance Officercontrolsince 07/2022 · owns less than 5%
- C••••• A•••••• L•• · Fund Advisor General Counselsince 04/2023 · owns less than 5%
Entity owners
- P•••••• L••• I•••••••• C•••••• · Managing Member Of Applicantdirect · owns 75% or more
- P•••••• L••••••• · Parentindirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
- P•••••• M••••• H•••••• C•••••• · Parentindirect · owns 75% or more of P•••••• L•••••••
Related persons
Schedule D 7.A
- P•••••• L••• • A•••••• C••••••real estatey
- P•••••• L••• I•••••••• C••••••real estatey
- P•••••• L••• T•••• R••••••••• G• L••pooled vehicle sponsory
- P•••••• P•••••• F••• A••••••• L••investment adviserpooled vehicle sponsornRAUM $12B
- P•••••• S••••• D••••••••• L••broker-dealern
Advisers that list P•••••• L••• F••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 67 to 68Mar 17, 2025 to Mar 11, 2026
- Discretionary RAUM · $41B to $43BMar 17, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $57.9M to $60.6MMar 17, 2025 to Mar 11, 2026
- RAUM · $41B to $43BMar 17, 2025 to Mar 11, 2026
- Accounts · 61 to 67Mar 18, 2024 to Mar 17, 2025
- Advisory employees · 18 to 19Mar 18, 2024 to Mar 17, 2025
- Employees · 19 to 20Mar 18, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 17, 2025
- Discretionary RAUM · $40B to $41BMar 18, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $54.8M to $57.9MMar 18, 2024 to Mar 17, 2025
- RAUM · $40B to $41BMar 18, 2024 to Mar 17, 2025
- Discretionary RAUM · $36B to $40BDec 15, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $54.2M to $54.8MDec 15, 2023 to Mar 18, 2024
- RAUM · $36B to $40BDec 15, 2023 to Mar 18, 2024
- Accounts · 85 to 61Mar 27, 2023 to Dec 15, 2023
- Advisory employees · 14 to 18Mar 27, 2023 to Dec 15, 2023
- Employees · 18 to 19Mar 27, 2023 to Dec 15, 2023
- Discretionary RAUM · $45B to $36BMar 27, 2023 to Dec 15, 2023
- Pooled vehicle RAUM · $78.7M to $54.2MMar 27, 2023 to Dec 15, 2023
- RAUM · $45B to $36BMar 27, 2023 to Dec 15, 2023
- Advisory employees · 10 to 14Sep 13, 2022 to Mar 27, 2023
- Employees · 16 to 18Sep 13, 2022 to Mar 27, 2023
- Discretionary RAUM · $56B to $45BSep 13, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $77.4M to $78.7MSep 13, 2022 to Mar 27, 2023
- RAUM · $56B to $45BSep 13, 2022 to Mar 27, 2023
- Related bank · true to falseSep 13, 2022 to Mar 27, 2023
- Advisory employees · 12 to 10Mar 28, 2022 to Jul 1, 2022
- BD registered reps · 8 to 4Mar 28, 2022 to Jul 1, 2022
- Employees · 23 to 16Mar 28, 2022 to Jul 1, 2022
- Accounts · 82 to 85Jan 20, 2022 to Mar 28, 2022
- Advisory employees · 13 to 12Jan 20, 2022 to Mar 28, 2022
- BD registered reps · 7 to 8Jan 20, 2022 to Mar 28, 2022
- Discretionary RAUM · $52B to $56BJan 20, 2022 to Mar 28, 2022
- Pooled vehicle RAUM · $152M to $77.4MJan 20, 2022 to Mar 28, 2022
- RAUM · $52B to $56BJan 20, 2022 to Mar 28, 2022
- Accounts · 89 to 82Apr 30, 2020 to Mar 29, 2021
- Advisory employees · 14 to 13Apr 30, 2020 to Mar 29, 2021
- BD registered reps · 8 to 7Apr 30, 2020 to Mar 29, 2021
- Employees · 25 to 23Apr 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $50B to $52BApr 30, 2020 to Mar 29, 2021
Signals
2 dated events
- Sue Robin Yonis (Fund Advisor General Counsel) no longer on Schedule A of P•••••• L••• F••• A••••••• L•• (listed 2022-09-13, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- Sue Robin Yonis (Fund Advisor General Counsel) appeared on Schedule A of P•••••• L••• F••• A••••••• L••Sep 13, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P•••••• L••• F••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• L••• F••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- pacificlife.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800.800.7646reportedpublic record, Form ADV, Mar 11, 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
- Asset manager (funds and pooled vehicles)deriveda 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