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•••••••• A•••••••• I•••

Former SEC-registered adviserDes Moines, IowaCRD 105594SEC 801-30958IAPD
Latest filing Mar 30, 2020
First filing on the tape Dec 7, 2011 · 16 filings
RAUM
$9.0B
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
31
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: $9.0B
HNW client RAUM: $0
State-registered IARs (5.B.3)7 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)31 as of Mar 30, 2020
Apr 1, 201338 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 7offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2020; every figure names its basis
RAUM per advisor
$1.3BderivedRAUM 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
$30.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.4derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$8.0B89%
  • State and municipal entities$933M10%
  • Pooled investment vehicles$68.0M0.8%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
208reported
Charitable clients
0reported
Accounts
299reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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••••••• A•••••• J••• · Chief Compliance Officercontrol
    since 08/2015 · owns less than 5%
  • H••••••••• K•••• M•••• · Directorcontrol
    since 03/2015 · owns less than 5%
  • J••••••••• T•••• A• · Directorcontrol
    since 10/2018 · owns less than 5%
  • M•••••• K••••• J•••• · Directorcontrol
    since 03/2015 · owns less than 5%
  • S•••••••• M••••••• J••••• · Chief Financial Officercontrol
    since 08/2015 · owns less than 5%
  • W••••• R••••• L••• · President & Chairmancontrol
    since 03/2015 · owns less than 5%
Entity owners
  • P•••••••• G••••• I•••••••• H•••••• C•••••• •••• L•• · 100% Owner
    direct · owns 75% or more
  • P•••••••• F•••••••• G••••• I••• · 100% Owner
    indirect · owns 75% or more of P•••••••• F•••••••• S•••••••• I••• · public reporting company
  • P•••••••• F•••••••• S•••••••• I••• · 100% Owner
    indirect · owns 75% or more of P•••••••• G••••• I•••••••• H•••••• C•••••• •••• L••
Related persons
Schedule D 7.A
Advisers that list P•••••••• F•••••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 299.0
    Mar 1, 2019 to Mar 30, 2020
  • BD registered reps · 1 to 8
    Mar 1, 2019 to Mar 30, 2020
  • Pension plan clients · 309 to 208
    Mar 1, 2019 to Mar 30, 2020
  • Employees · 33 to 31
    Mar 1, 2019 to Mar 30, 2020
  • State-registered IARs · 0 to 7
    Mar 1, 2019 to Mar 30, 2020
  • Other offices · 1 to 0
    Mar 1, 2019 to Mar 30, 2020
  • Discretionary RAUM · unset to 8963266904.0
    Mar 1, 2019 to Mar 30, 2020
  • HNW RAUM · unset to 0.0
    Mar 1, 2019 to Mar 30, 2020
  • Individual RAUM · unset to 0.0
    Mar 1, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · unset to 0.0
    Mar 1, 2019 to Mar 30, 2020
  • Pension RAUM · unset to 7962694358.0
    Mar 1, 2019 to Mar 30, 2020
  • Pooled vehicle RAUM · unset to 68014534.0
    Mar 1, 2019 to Mar 30, 2020
  • RAUM · unset to 8963266904.0
    Mar 1, 2019 to Mar 30, 2020
  • Advisory employees · 17 to 16
    Mar 28, 2018 to Mar 1, 2019
  • BD registered reps · 0 to 1
    Mar 28, 2018 to Mar 1, 2019
  • Pension plan clients · 314 to 309
    Mar 28, 2018 to Mar 1, 2019
  • Advisory employees · 16 to 17
    May 26, 2017 to Mar 28, 2018
  • Charity clients · unset to 0.0
    May 26, 2017 to Mar 28, 2018
  • Corporate clients · unset to 0.0
    May 26, 2017 to Mar 28, 2018
  • HNW clients · unset to 0.0
    May 26, 2017 to Mar 28, 2018
  • Individual clients · unset to 0.0
    May 26, 2017 to Mar 28, 2018
  • Pension plan clients · unset to 314.0
    May 26, 2017 to Mar 28, 2018
  • Pooled vehicle clients · unset to 1.0
    May 26, 2017 to Mar 28, 2018
  • Employees · 32 to 33
    May 26, 2017 to Mar 28, 2018
  • Other offices · unset to 1.0
    May 26, 2017 to Mar 28, 2018
  • BD registered reps · 18 to 0
    Mar 25, 2016 to Mar 29, 2017
  • Employees · 35 to 32
    Mar 25, 2016 to Mar 29, 2017
  • Insurance-licensed employees · 13 to 0
    Mar 25, 2016 to Mar 29, 2017
  • State-registered IARs · 14 to 0
    Mar 25, 2016 to Mar 29, 2017
  • Financial planning clients · 0 to unset
    Aug 18, 2015 to Mar 25, 2016
  • State-registered IARs · 15 to 14
    Aug 18, 2015 to Mar 25, 2016
  • Advisory employees · 35 to 16
    Aug 18, 2015 to Mar 25, 2016
  • BD registered reps · 20 to 18
    Aug 18, 2015 to Mar 25, 2016
  • Insurance-licensed employees · 15 to 13
    Aug 18, 2015 to Mar 25, 2016
  • Advisory employees · 39 to 35
    Nov 6, 2014 to Mar 31, 2015
  • BD registered reps · 23 to 20
    Nov 6, 2014 to Mar 31, 2015
  • Employees · 39 to 35
    Nov 6, 2014 to Mar 31, 2015
  • Insurance-licensed employees · 17 to 15
    Nov 6, 2014 to Mar 31, 2015
  • State-registered IARs · 17 to 15
    Nov 6, 2014 to Mar 31, 2015
  • Advisory employees · 38 to 39
    Jan 6, 2014 to Mar 28, 2014
Signals
4 dated events
  • Elizabeth Karen Shaff (Executive Vice President, General Counsel & Secretary) no longer on Schedule A of P•••••••• F•••••••• A•••••••• I••• (listed 2019-03-01, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Marie Julia Lawler (Director) no longer on Schedule A of P•••••••• F•••••••• A•••••••• I••• (listed 2018-03-28, absent 2019-03-01)
    Mar 1, 2019 · Control person left · inference
  • Joseph Christopher Bowman (Director) no longer on Schedule A of P•••••••• F•••••••• A•••••••• I••• (listed 2018-03-28, absent 2019-03-01)
    Mar 1, 2019 · Control person left · inference
  • A Todd Jablonski (Director) appeared on Schedule A of P•••••••• F•••••••• A•••••••• I•••
    Mar 1, 2019 · Control person joined · fact
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