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•••• V••• W••••• M••••••••• I•••
Latest filing Jan 27, 2021
First filing on the tape Nov 8, 2011 · 16 filings
RAUM
$393M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$389M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 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$393M as of Jan 27, 2021
Mar 21, 2012$116M then
HNW client RAUM$301M as of Jan 27, 2021
Feb 8, 2018$288M then
State-registered IARs (5.B.3)3 as of Jan 27, 2021
Mar 21, 20120 then
Employees (5.A)5 as of Jan 27, 2021
Feb 26, 20132 then
Private funds: no history
RAUM +3.6% over the last fiscal year+5.8% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Jan 27, 2021; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $528,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, otherreportedItem 5.G
- Custody
- $30.7M, 30 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$301M77%
- Individuals$87.6M22%
- Corporations and businesses$1.9M0.5%
- Charitable organizations$1.9M0.5%
- Pension and profit-sharing plans$1.0M0.3%
- Individual clients
- 94reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 745reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.7M for 30 clientsreported
- 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
Left, latest
- F•••••••• W• S•••••••• to J••• M••••• S••••••••• L••Jan 28, 2021 · RIA to wirehouse
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• K••••• J•••••• · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- D•••••• D••••• G••••• · President And Chief Investment Strategistcontrolsince 01/1993 · owns less than 5%
- P•••••• T•••• M••••• · General Counsel/Secretarycontrolsince 09/2019 · owns less than 5%
- T•••• C•••••• E•••• · Vp And Treasurercontrolsince 09/2019 · owns less than 5%
Entity owners
- P••••••••• B••• · Shareholderdirect · owns 75% or more
- P••••••••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of P••••••••• B••• · public reporting company
Related persons
Schedule D 7.A
- C••••• E• T•••y
- L••••• W••••••investment advisernRAUM $617M
- M••••• C•••••• M••••••••• I••investment advisernRAUM $1.2B
- P••••••••• B•••y
- P••••••••• M••••••• G••••• I•••n
- P•• T•••• • I••••••••• O• D•••••••n
Advisers that list P•••• V••• W••••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 724 to 745Jun 15, 2020 to Jan 27, 2021
- HNW clients · 60 to 65Jun 15, 2020 to Jan 27, 2021
- Individual clients · 106 to 94Jun 15, 2020 to Jan 27, 2021
- Assets in custody · $20.5M to $30.7MJun 15, 2020 to Jan 27, 2021
- State-registered IARs · 5 to 3Jun 15, 2020 to Jan 27, 2021
- Discretionary RAUM · $377M to $392MJun 15, 2020 to Jan 27, 2021
- HNW RAUM · $267M to $301MJun 15, 2020 to Jan 27, 2021
- Individual RAUM · $98.8M to $87.6MJun 15, 2020 to Jan 27, 2021
- Non-discretionary RAUM · $2.8M to $1.0MJun 15, 2020 to Jan 27, 2021
- Pension RAUM · $4.5M to $1.0MJun 15, 2020 to Jan 27, 2021
- RAUM · $380M to $393MJun 15, 2020 to Jan 27, 2021
- Assets in custody · unset to 20514441.0Mar 26, 2020 to Jun 15, 2020
- Custody of client assets · false to trueMar 26, 2020 to Jun 15, 2020
- Accounts · 712 to 724Sep 27, 2019 to Mar 26, 2020
- HNW clients · 93 to 60Sep 27, 2019 to Mar 26, 2020
- Individual clients · 66 to 106Sep 27, 2019 to Mar 26, 2020
- State-registered IARs · 3 to 5Sep 27, 2019 to Mar 26, 2020
- Discretionary RAUM · $305M to $377MSep 27, 2019 to Mar 26, 2020
- HNW RAUM · $256M to $267MSep 27, 2019 to Mar 26, 2020
- Individual RAUM · $39.5M to $98.8MSep 27, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $2.2M to $2.8MSep 27, 2019 to Mar 26, 2020
- Pension RAUM · $3.6M to $4.5MSep 27, 2019 to Mar 26, 2020
- RAUM · $307M to $380MSep 27, 2019 to Mar 26, 2020
- State-registered IARs · 2 to 3Mar 29, 2019 to Sep 27, 2019
- Related adviser · false to trueMar 29, 2019 to Sep 27, 2019
- Accounts · 668 to 712Feb 8, 2018 to Mar 29, 2019
- Advisory activities · 3 to 4Feb 8, 2018 to Mar 29, 2019
- HNW clients · 94 to 93Feb 8, 2018 to Mar 29, 2019
- Individual clients · 58 to 66Feb 8, 2018 to Mar 29, 2019
- Discretionary RAUM · $332M to $305MFeb 8, 2018 to Mar 29, 2019
- HNW RAUM · $288M to $256MFeb 8, 2018 to Mar 29, 2019
- Individual RAUM · $33.1M to $39.5MFeb 8, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $0 to $2.2MFeb 8, 2018 to Mar 29, 2019
- Pension RAUM · $3.0M to $3.6MFeb 8, 2018 to Mar 29, 2019
- RAUM · $332M to $307MFeb 8, 2018 to Mar 29, 2019
- Accounts · 618 to 668Feb 8, 2017 to Feb 8, 2018
- HNW clients · unset to 94.0Feb 8, 2017 to Feb 8, 2018
- Individual clients · unset to 58.0Feb 8, 2017 to Feb 8, 2018
- Financial planning clients · 11-25 to 26-50Feb 8, 2017 to Feb 8, 2018
- Other offices · unset to 0.0Feb 8, 2017 to Feb 8, 2018
Signals
2 dated events
- Johanna Karen Alvarado (Chief Compliance Officer) appeared on Schedule A of P•••• V••• W••••• M••••••••• I•••Sep 27, 2019 · Control person joined · fact
- Martin Todd Poland (General Counsel/Secretary) appeared on Schedule A of P•••• V••• W••••• M••••••••• I•••Sep 27, 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