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•••••• A•••• M•••••••••
Legal name P•••••• A•••• M••••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Apr 2, 2012 · 19 filings
SEC status approved since Nov 15, 1985
RAUM
$320M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$299M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$320M as of Mar 25, 2024
Apr 2, 2012$101M then
HNW client RAUM$141M as of Mar 25, 2024
Mar 19, 2018$128M then
State-registered IARs (5.B.3)3 as of Mar 25, 2024
Apr 2, 20120 then
Employees (5.A)6 as of Mar 25, 2024
Feb 4, 20136 then
Private funds: no history
RAUM +13% over the last fiscal year+6.9% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM 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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$158M49%
- High-net-worth individuals$141M44%
- Pension and profit-sharing plans$21.5M6.7%
- Individual clients
- 232reported
- HNW clients
- 30reported
- Pension plan clients
- 17reported
- Charitable clients
- 0reported
- Accounts
- 279reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- M••••• W•••••• R•••• to I••••••••• F•••••••• G••••• L••Apr 29, 2025 · Other
- P••• S•••••• O•••• to I••••••••• F•••••••• G••••• L••Apr 29, 2025 · Other
- L••••••• I•• S•••••••• to M••••• W••••• M••••••••• L••Apr 29, 2025 · RIA to RIA
- B•••• W• S•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 5, 2024 · RIA to wirehouse
- E•••• B••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••Jul 13, 2011 · Other
- P••• S•••••• O•••• to Q••••••••• S••••••••• I•••Dec 31, 2009 · Other
Joined, latest
- B•••• W• S•••• from R•• C•••••• M••••••• L••Dec 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- E•••• B••• from I••••••••• F•••••••• G••••• L••Mar 17, 2011 · Other
- L••••••• I•• S•••••••• from I••••••••• F•••••••• G••••• L••Dec 2, 2010 · Other
- M••••• W•••••• R•••• from Q••••••••• S••••••••• I•••Feb 8, 2010 · Other
- P••• S•••••• O•••• from A•• A•••••• S••••••• L••Feb 8, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••••••• F•••••••• G••••• L••Apr 29, 2025 · Calabasas, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• M•••••• W•••••• · Presidentcontrolsince 08/1985 · owns 50% to 75%
- O••••• P•••• S•••••• · Chief Compliance Officersince 12/2004 · owns less than 5%
- R••••• J•••• L• · Membersince 01/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- Q••••••••• S••••••••• I•••investment adviseryRAUM $172M
Advisers that list P•••••• A•••• M••••••••• as a related person
- 117908 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Calabass, Ca | 0 | 0 | 0 | ||
| Calabasas, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 292 to 279Oct 12, 2023 to Mar 25, 2024
- Advisory employees · 4 to 3Oct 12, 2023 to Mar 25, 2024
- BD registered reps · 3 to 2Oct 12, 2023 to Mar 25, 2024
- HNW clients · 29 to 30Oct 12, 2023 to Mar 25, 2024
- Individual clients · 237 to 232Oct 12, 2023 to Mar 25, 2024
- Pension plan clients · 26 to 17Oct 12, 2023 to Mar 25, 2024
- Employees · 7 to 6Oct 12, 2023 to Mar 25, 2024
- Insurance-licensed employees · 3 to 2Oct 12, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 0Oct 12, 2023 to Mar 25, 2024
- State-registered IARs · 4 to 3Oct 12, 2023 to Mar 25, 2024
- Discretionary RAUM · $284M to $320MOct 12, 2023 to Mar 25, 2024
- HNW RAUM · $76.5M to $141MOct 12, 2023 to Mar 25, 2024
- Individual RAUM · $173M to $158MOct 12, 2023 to Mar 25, 2024
- Pension RAUM · $34.9M to $21.5MOct 12, 2023 to Mar 25, 2024
- RAUM · $284M to $320MOct 12, 2023 to Mar 25, 2024
- Accounts · 266 to 292Oct 21, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Oct 21, 2022 to Mar 31, 2023
- HNW clients · 30 to 29Oct 21, 2022 to Mar 31, 2023
- Individual clients · 206 to 237Oct 21, 2022 to Mar 31, 2023
- Pension plan clients · 30 to 26Oct 21, 2022 to Mar 31, 2023
- State-registered IARs · 5 to 4Oct 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $316M to $284MOct 21, 2022 to Mar 31, 2023
- HNW RAUM · $128M to $76.5MOct 21, 2022 to Mar 31, 2023
- Individual RAUM · $156M to $173MOct 21, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $17.1M to $0Oct 21, 2022 to Mar 31, 2023
- Pension RAUM · $49.9M to $34.9MOct 21, 2022 to Mar 31, 2023
- RAUM · $333M to $284MOct 21, 2022 to Mar 31, 2023
- Accounts · 248 to 266Apr 23, 2021 to Mar 22, 2022
- BD registered reps · 4 to 3Apr 23, 2021 to Mar 22, 2022
- HNW clients · 21 to 30Apr 23, 2021 to Mar 22, 2022
- Individual clients · 192 to 206Apr 23, 2021 to Mar 22, 2022
- Pension plan clients · 35 to 30Apr 23, 2021 to Mar 22, 2022
- State-registered IARs · 3 to 5Apr 23, 2021 to Mar 22, 2022
- Discretionary RAUM · $262M to $316MApr 23, 2021 to Mar 22, 2022
- HNW RAUM · $79.1M to $128MApr 23, 2021 to Mar 22, 2022
- Individual RAUM · $129M to $156MApr 23, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $0 to $17.1MApr 23, 2021 to Mar 22, 2022
- Pension RAUM · $53.4M to $49.9MApr 23, 2021 to Mar 22, 2022
- RAUM · $262M to $333MApr 23, 2021 to Mar 22, 2022
- Accounts · 252 to 248Jun 30, 2020 to Mar 23, 2021
Signals
7 dated events
- P•••••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $320.3M)May 2, 2025 · Left the SEC roster · derived
- P••• S•••••• O•••• left P•••••• A•••• M••••••••• for I••••••••• F•••••••• G••••• L•• (registered 2010-04-28)Apr 29, 2025 · a•••••• firm change · fact
- M••••• W•••••• R•••• left P•••••• A•••• M••••••••• for I••••••••• F•••••••• G••••• L•• (registered 2010-05-04)Apr 29, 2025 · a•••••• firm change · fact
- L••••••• I•• S•••••••• left P•••••• A•••• M••••••••• for M••••• W••••• M••••••••• L•• (registered 2025-04-11)Apr 29, 2025 · a•••••• firm change · fact
- 2 advisors left P•••••• A•••• M••••••••• (Calabasas, CA) for I••••••••• F•••••••• G••••• L•• on the same dayApr 29, 2025 · Team lift-out · derived
- B•••• W• S•••• left P•••••• A•••• M••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-06-10)Aug 5, 2024 · a•••••• firm change · fact
- P•••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 2, 2012 · Succession (Item 4) · 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