DFX Intelligence
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SEC-registered adviser
P••••• I•••••••• I••
Latest filing Mar 17, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Jul 6, 1989
RAUM
$192M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$178M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$64.0M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$192M as of Mar 17, 2026
Mar 30, 2012$91.7M then
HNW client RAUM$177M as of Mar 17, 2026
Mar 12, 2018$164M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 17, 2026
Mar 18, 20131 then
Private funds: no history
RAUM -9.5% over the last fiscal year-5.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.5%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
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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
- High-net-worth individuals$177M92%
- Charitable organizations$12.9M6.7%
- Individuals$1.7M0.9%
- Corporations and businesses$506,7940.3%
- Individual clients
- n/areported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 64reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• P••• P•••••Chartered Financial Analyst | Rowayton, Ct | Jan 28, 2005 | 35 y | 1 |
| A•••••••• R••••• P•••••Chartered Financial Analyst | Rowayton, Ct | Mar 22, 2016 | 10 y | 0 |
| T•••••• P•••• P••••• | Rowayton, Ct | Apr 22, 2022 | 23 y | 1 |
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
- T•••••• P•••• P••••• from H••• C•••••• R••• E•••••• L••Apr 22, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• S•••••• P••• · President/Chief Compliance Officercontrolsince 05/1989 · owns 75% or more
- P•••••• T••••••• P•••• · Treasurersince 02/2022 · owns less than 5%
Related persons
Schedule D 7.A
- H••• C•••••• R••• E•••••• L••investment adviserpooled vehicle sponsoryRAUM $140M
Advisers that list P••••• I•••••••• I•• as a related person
- 281848 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rowayton, Ct · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 71 to 64Mar 29, 2025 to Mar 17, 2026
- HNW clients · 29 to 27Mar 29, 2025 to Mar 17, 2026
- Discretionary RAUM · $212M to $192MMar 29, 2025 to Mar 17, 2026
- HNW RAUM · $198M to $177MMar 29, 2025 to Mar 17, 2026
- Individual RAUM · $2.5M to $1.7MMar 29, 2025 to Mar 17, 2026
- RAUM · $212M to $192MMar 29, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 0Mar 4, 2025 to Mar 29, 2025
- Accounts · 73 to 71Mar 28, 2024 to Mar 4, 2025
- HNW clients · 30 to 29Mar 28, 2024 to Mar 4, 2025
- Individual clients · 5.0 to unsetMar 28, 2024 to Mar 4, 2025
- Discretionary RAUM · $232M to $212MMar 28, 2024 to Mar 4, 2025
- HNW RAUM · $213M to $198MMar 28, 2024 to Mar 4, 2025
- Individual RAUM · $3.1M to $2.5MMar 28, 2024 to Mar 4, 2025
- Pension RAUM · 5417527.0 to unsetMar 28, 2024 to Mar 4, 2025
- RAUM · $232M to $212MMar 28, 2024 to Mar 4, 2025
- Accounts · 79 to 73Feb 27, 2023 to Mar 27, 2024
- Advisory employees · 3 to 5Feb 27, 2023 to Mar 27, 2024
- HNW clients · 31 to 30Feb 27, 2023 to Mar 27, 2024
- Individual clients · unset to 5.0Feb 27, 2023 to Mar 27, 2024
- Employees · 4 to 6Feb 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $226M to $232MFeb 27, 2023 to Mar 27, 2024
- HNW RAUM · $210M to $213MFeb 27, 2023 to Mar 27, 2024
- Individual RAUM · $2.3M to $3.1MFeb 27, 2023 to Mar 27, 2024
- Pension RAUM · $4.1M to $5.4MFeb 27, 2023 to Mar 27, 2024
- RAUM · $226M to $232MFeb 27, 2023 to Mar 27, 2024
- Individual clients · 4.0 to unsetFeb 22, 2023 to Feb 24, 2023
- Pension RAUM · unset to 4131775.0Feb 22, 2023 to Feb 24, 2023
- Accounts · 80 to 79Mar 24, 2022 to Feb 22, 2023
- HNW clients · 32 to 31Mar 24, 2022 to Feb 22, 2023
- Individual clients · 5 to 4Mar 24, 2022 to Feb 22, 2023
- Insurance-licensed employees · 3 to 2Mar 24, 2022 to Feb 22, 2023
- Discretionary RAUM · $252M to $226MMar 24, 2022 to Feb 22, 2023
- HNW RAUM · $238M to $210MMar 24, 2022 to Feb 22, 2023
- Individual RAUM · $3.3M to $2.3MMar 24, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $4.3M to $0Mar 24, 2022 to Feb 22, 2023
- RAUM · $256M to $226MMar 24, 2022 to Feb 22, 2023
- Accounts · 70 to 80Mar 10, 2021 to Mar 23, 2022
- Advisory employees · 2 to 3Mar 10, 2021 to Mar 23, 2022
- HNW clients · 24 to 32Mar 10, 2021 to Mar 23, 2022
- Individual clients · 6 to 5Mar 10, 2021 to Mar 23, 2022
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.
How to reach
public business contact points only, each with its source
- Business phone
- 203-957-8880reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 914-602-6004reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••-INVESTORS-INC.reportedpublic record, Form ADV, Mar 17, 2026
- Website
- P•••••INVESTORS.COMreportedpublic record, Form ADV, Mar 17, 2026
- Principal office phone
- 203 9578880reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $64.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026