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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Former SEC-registered adviser

P•• F•••••••• S••••••• I••

Former SEC-registered adviserEscondido, CaliforniaCRD 10547SEC 801-72856IAPD
Legal name P•• F•••••••• S•••••••• I•••
Latest filing Feb 24, 2015
First filing on the tape Mar 13, 2012 · 10 filings
RAUM
$500,000
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$500,000 as of Feb 24, 2015
May 31, 2012$2.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 24, 2015
May 31, 20120 then
Employees (5.A)2 as of Feb 24, 2015
Jun 4, 20132 then
Private funds: no history
RAUM -50% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 24, 2015; every figure names its basis
RAUM per advisor
$250,000derivedRAUM 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
$20,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-50%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 assetsreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
25reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
  • L••••••• M•••• R••• · President, Director/Ceo/Chief Compliance Officercontrol
    since 12/1981 · owns less than 5%
  • H•••••••• J•••• K••••••• · Ownercontrol
    since 02/2013 · owns 75% or more of P•••• T•••• I••
Entity owners
  • P•••• T•••• I•• · Corporation
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Malibu, CA
  • San Diego, CA
What changed
consecutive filings, newest first
  • Accounts · 10 to 25
    Mar 26, 2014 to Feb 24, 2015
  • Non-discretionary RAUM · $1.0M to $500,000
    Mar 26, 2014 to Feb 24, 2015
  • RAUM · $1.0M to $500,000
    Mar 26, 2014 to Feb 24, 2015
  • Accounts · 7 to 10
    Jul 16, 2013 to Mar 26, 2014
  • Discretionary RAUM · $924,000 to $0
    Jul 16, 2013 to Mar 26, 2014
  • Non-discretionary RAUM · $0 to $1.0M
    Jul 16, 2013 to Mar 26, 2014
  • RAUM · $924,000 to $1.0M
    Jul 16, 2013 to Mar 26, 2014
  • Accounts · 8 to 7
    Apr 11, 2013 to Jun 4, 2013
  • Advisory employees · 3 to 2
    Apr 11, 2013 to Jun 4, 2013
  • BD registered reps · 3 to 2
    Apr 11, 2013 to Jun 4, 2013
  • Employees · 3 to 2
    Apr 11, 2013 to Jun 4, 2013
  • State-registered IARs · 3 to 2
    Apr 11, 2013 to Jun 4, 2013
  • Discretionary RAUM · $2.2M to $924,000
    Apr 11, 2013 to Jun 4, 2013
  • RAUM · $2.2M to $924,000
    Apr 11, 2013 to Jun 4, 2013
  • Advisory employees · unset to 3.0
    May 31, 2012 to Jan 17, 2013
  • BD registered reps · unset to 3.0
    May 31, 2012 to Jan 17, 2013
  • Employees · unset to 3.0
    May 31, 2012 to Jan 17, 2013
  • State-registered IARs · 0 to 3
    May 31, 2012 to Jan 17, 2013
  • Accounts · 4 to 8
    Mar 16, 2012 to May 31, 2012
  • Discretionary RAUM · $2.2M to $2.2M
    Mar 16, 2012 to May 31, 2012
  • RAUM · $2.2M to $2.2M
    Mar 16, 2012 to May 31, 2012
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