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••••••••• A••••••• S••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Oct 11, 1978
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.2B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
13
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.3B as of Mar 27, 2026
Mar 30, 2012$513M then
HNW client RAUM$1.0B as of Mar 27, 2026
Mar 20, 2018$584M then
State-registered IARs (5.B.3)9 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)13 as of Mar 27, 2026
Mar 21, 20137 then
Private funds: no history
RAUM +4.8% over the last fiscal year+6.9% a year over threeIARs 9 to 9
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
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $641M, 387 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B81%
- Individuals$199M16%
- Pension and profit-sharing plans$20.3M1.6%
- Corporations and businesses$15.7M1.2%
- Charitable organizations$8.1M0.6%
- Individual clients
- 344reported
- HNW clients
- 252reported
- Pension plan clients
- 6reported
- Charitable clients
- 10reported
- Accounts
- 1,234reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $641M for 387 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• L•••• B••••• | Vero Beach, Fl | May 5, 1999 | 28 y | 0 |
| C••••••••• M•••••• B•••• | Vero Beach, Fl | Jan 26, 2001 | 30 y | 0 |
| R••••• N••••• P•••••••••Chartered Financial Analyst | Vero Beach, Fl | Mar 21, 2002 | 25 y | 0 |
| C••••••••• R• S•••••Certified Financial Planner | Vero Beach, Fl | Dec 5, 2007 | 27 y | 3 |
| D•••• A••• J•••• | Vero Beach, Fl | Mar 22, 2016 | 34 y | 0 |
| J••••• M••••• B•••••Chartered Financial Consultant | Vero Beach, Fl | Aug 28, 2018 | 11 y | 1 |
| J••••• S•••• G•••••••Certified Financial Planner, Chartered Financial Analyst | Vero Beach, Fl | Sep 5, 2018 | 10 y | 0 |
| K•••• S•• M•••••••Certified Financial Planner | Vero Beach, Fl | Dec 22, 2024 | 19 y | 1 |
| C••••••••• J• C••••••Chartered Financial Consultant | Vero Beach, Fl | Sep 8, 2025 | 15 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 headcount1 left over 36 months
Left, latest
- D••••• H••••••• S••••••••• to J••• P•••••• C•••••• M••••••••• L••Jul 7, 2025 · RIA to RIA
- D•••• A••••• R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 13, 2017 · Other
Joined, latest
- K•••• S•• M••••••• from M••••• S••••••Dec 22, 2024 · Wirehouse to independent RIA
- D••••• H••••••• S••••••••• from A•••••••• F•••••••• L••Jun 19, 2024 · Other
- J••••• M••••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 28, 2018 · Wirehouse to independent RIA
- D•••• A••••• R••• from M••••• S••••••Feb 3, 2016 · Other
- C••••••••• R• S••••• from O•••• W•••••• I•••Dec 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••• L•••• · Vice President/Secretary/Treasurer, Class A Shareholder, Partnercontrolsince 01/2004 · owns 50% to 75%
- C••••••• C••••••••• J• · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- J••••• D••••• A••• · President, Class A Shareholder, Partnercontrolsince 01/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Vero Beach, Fl · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026C••••••• C••••••••• J• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2012-03-30 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,245 to 1,234Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 12 to 10Mar 31, 2025 to Mar 27, 2026
- HNW clients · 247 to 252Mar 31, 2025 to Mar 27, 2026
- Individual clients · 364 to 344Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 8 to 6Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $579M to $641MMar 31, 2025 to Mar 27, 2026
- Employees · 14 to 13Mar 31, 2025 to Mar 27, 2026
- Financial planning clients · 26-50 to 51-100Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $1.3BMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $947M to $1.0BMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $211M to $199MMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $18.4M to $20.3MMar 31, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.3BMar 31, 2025 to Mar 27, 2026
- Accounts · 1,214 to 1,245Mar 29, 2024 to Mar 31, 2025
- Advisory employees · 8 to 9Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 1 to 2Mar 29, 2024 to Mar 31, 2025
- HNW clients · 243 to 247Mar 29, 2024 to Mar 31, 2025
- Individual clients · 369 to 364Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 6 to 8Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $523M to $579MMar 29, 2024 to Mar 31, 2025
- Employees · 13 to 14Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 26-50Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 8 to 9Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.2BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $890M to $947MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $218M to $211MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $14.1M to $18.4MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.2BMar 29, 2024 to Mar 31, 2025
- Accounts · 1,151 to 1,214Mar 29, 2023 to Mar 29, 2024
- Charity clients · 8 to 10Mar 29, 2023 to Mar 29, 2024
- Corporate clients · 11 to 12Mar 29, 2023 to Mar 29, 2024
- HNW clients · 207 to 243Mar 29, 2023 to Mar 29, 2024
- Pension plan clients · 10 to 6Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $452M to $523MMar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.0B to $1.1BMar 29, 2023 to Mar 29, 2024
- HNW RAUM · $767M to $890MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $231M to $218MMar 29, 2023 to Mar 29, 2024
- Pension RAUM · $13.7M to $14.1MMar 29, 2023 to Mar 29, 2024
- RAUM · $1.0B to $1.1BMar 29, 2023 to Mar 29, 2024
- Accounts · 1,087 to 1,151Mar 31, 2022 to Mar 29, 2023
Signals
2 dated events
- D••••• H••••••• S••••••••• left P••••••••• A••••••• S••••••• I•• for J••• P•••••• C•••••• M••••••••• L•• (registered 2026-01-05)Jul 7, 2025 · Advisor changed firm · fact
- Mcgarvey Ken Ligon (Vice President, Class A Shareholder, Partner) no longer on Schedule A of P••••••••• A••••••• S••••••• I•• (listed 2023-03-29, absent 2024-03-29)Mar 29, 2024 · 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
- Business email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 772-770-2979reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 772-778-0552reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-847-7274reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/professional-advisory-services-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 772-778-0552reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026