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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SEC-registered adviser
P•••••• G••••• I••••••••• M••••••••• C••••••
Latest filing Aug 7, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Jun 17, 1992
RAUM
$87.5M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$79.9M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$21.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$87.5M as of Aug 7, 2026
Mar 30, 2012$462M then
HNW client RAUM$64.2M as of Aug 7, 2026
Mar 29, 2018$375M then
State-registered IARs (5.B.3)4 as of Aug 7, 2026
Apr 1, 20136 then
Employees (5.A)6 as of Aug 7, 2026
Apr 1, 201328 then
Private funds: no history
RAUM -12% over the last fiscal year-48% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $21.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $441,901derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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)
- 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$64.2M73%
- Individuals$15.6M18%
- Corporations and businesses$4.8M5.4%
- Charitable organizations$2.9M3.3%
- Individual clients
- 79reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 198reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• A•••• H•••••• | Glendale, Ca | Aug 8, 2003 | 41 y | 0 |
| B•••• E•••• F••••••Certified Financial Planner | Glendale, Ca | Sep 18, 2009 | 25 y | 0 |
| J•••• M•• F••• | Honolulu, Hi | Oct 17, 2017 | 22 y | 1 |
| L••••• L••• K•••••• | Glendale, Ca | Feb 26, 2026 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- S••••• C••••• C••••••••• to C••••••••• W•••••• L••Oct 11, 2024 · RIA to RIA
- M••••••• M•••••• to D•••• A•• D••••• I•••Nov 30, 2016 · Other
- T••••• H•••••• H••••• to F•••• W••••••• S••••••••• M••••••••• I•••Feb 1, 2010 · Other
Joined, latest
- S••••• C••••• C••••••••• from C•••••• M••••••••• C••••••Jan 4, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• C••••••••• L•••• · Directorcontrolsince 04/2011 · owns less than 5%
- H••••••• G•••••• A•••• · Ceo,Dcontrolsince 01/1992 · owns 25% to 50%
- K•••••• B••••••• A••• · Treasurercontrolsince 09/2019 · owns less than 5%
- A••••• E•••••• L•• · Directorsince 07/2012 · owns 5% to 10%
- H•••••• T•••••• H•••••• · Trustee T••••• H• H••••• R•••••••• T••••since 02/2010 · owns 10% to 25%
- H•••••••• M•••••• H••• · Trustee T•• H••••••• F••••• T•••• • B••••• S••••since 08/2022 · owns 10% to 25%
- H•••••••• M•••• K•••••• · Trustee T•• H••••••• F••••• T•••• • B••••• S••••since 08/2022 · owns 10% to 25%
Entity owners
- T•• H••••••• F••••• T•••• • B••••• S•••• · Common Stock S••••Holderdirect · owns 10% to 25%
- T••••• H• H••••• R•••••••• T•••• · Common Stock S••••Holderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glendale, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 15, 2026employees (Item 5.A) moved from 12.0 to 5.0 (-58.0%) between the annual amendments of 2025-03-31 and 2026-04-15; the peer median change was 0.0% (57 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, under $100M (57) · 5.4% percentile
What changed
consecutive filings, newest first
- Advisory employees · 1 to 4May 22, 2026 to Jun 26, 2026
- Assets in custody · unset to 0.0Apr 15, 2026 to May 22, 2026
- Custody of client assets · false to trueApr 15, 2026 to May 22, 2026
- Employees · 5 to 6Apr 15, 2026 to May 22, 2026
- State-registered IARs · 3 to 4Apr 15, 2026 to May 22, 2026
- Accounts · 197 to 198Mar 16, 2026 to Apr 15, 2026
- Advisory activities · 3 to 4Mar 16, 2026 to Apr 15, 2026
- Business name · P•••••• G••••• I••••••••• M••••••••• C• to P•••••• G••••• I••••••••• M••••••••• C••••••Mar 16, 2026 to Apr 15, 2026
- Individual clients · 92 to 79Mar 16, 2026 to Apr 15, 2026
- Employees · 7 to 5Mar 16, 2026 to Apr 15, 2026
- State-registered IARs · 2 to 3Mar 16, 2026 to Apr 15, 2026
- Legal name · P•••••• G••••• I••••••••• M••••••••• C• to P•••••• G••••• I••••••••• M••••••••• C••••••Mar 16, 2026 to Apr 15, 2026
- Discretionary RAUM · $85.9M to $86.9MMar 16, 2026 to Apr 15, 2026
- HNW RAUM · $63.1M to $64.2MMar 16, 2026 to Apr 15, 2026
- Individual RAUM · $15.2M to $15.6MMar 16, 2026 to Apr 15, 2026
- Non-discretionary RAUM · $0 to $581,351Mar 16, 2026 to Apr 15, 2026
- RAUM · $85.9M to $87.5MMar 16, 2026 to Apr 15, 2026
- Accounts · 260 to 197Jul 10, 2025 to Mar 16, 2026
- Advisory employees · 3 to 1Jul 10, 2025 to Mar 16, 2026
- HNW clients · 63 to 45Jul 10, 2025 to Mar 16, 2026
- Individual clients · 109 to 92Jul 10, 2025 to Mar 16, 2026
- Employees · 12 to 7Jul 10, 2025 to Mar 16, 2026
- Financial planning clients · 11-25 to 1-10Jul 10, 2025 to Mar 16, 2026
- State-registered IARs · 3 to 2Jul 10, 2025 to Mar 16, 2026
- Discretionary RAUM · $98.9M to $85.9MJul 10, 2025 to Mar 16, 2026
- HNW RAUM · $76.2M to $63.1MJul 10, 2025 to Mar 16, 2026
- Individual RAUM · $16.8M to $15.2MJul 10, 2025 to Mar 16, 2026
- RAUM · $98.9M to $85.9MJul 10, 2025 to Mar 16, 2026
- Financial planning clients · 11-25 to 11-25Mar 31, 2025 to Jul 10, 2025
- Accounts · 973 to 260Dec 9, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Dec 9, 2024 to Mar 31, 2025
- Charity clients · 3 to 1Dec 9, 2024 to Mar 31, 2025
- Corporate clients · 4 to 2Dec 9, 2024 to Mar 31, 2025
- HNW clients · 309 to 63Dec 9, 2024 to Mar 31, 2025
- Individual clients · 228 to 109Dec 9, 2024 to Mar 31, 2025
- Pension plan clients · 1 to 0Dec 9, 2024 to Mar 31, 2025
- Employees · 14 to 12Dec 9, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 11-25Dec 9, 2024 to Mar 31, 2025
- Discretionary RAUM · $740M to $98.9MDec 9, 2024 to Mar 31, 2025
- HNW RAUM · $661M to $76.2MDec 9, 2024 to Mar 31, 2025
Signals
3 dated events
- P•••••• G••••• I••••••••• M••••••••• C•••••• reported RAUM $98.9M, down 87% from $740.2M (2024-12-09 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- S••••• C••••• C••••••••• left P•••••• G••••• I••••••••• M••••••••• C•••••• for C••••••••• W•••••• L•• (registered 2024-10-02)Oct 11, 2024 · Advisor changed firm · fact
- Jingjing Yan (Vice President, Treasurer) no longer on Schedule A of P•••••• G••••• I••••••••• M••••••••• C•••••• (listed 2020-06-30, absent 2020-07-23)Jul 23, 2020 · Control person left · inference
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
- 800-404-6693reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-404-6693reportedpublic record, Form ADV, Aug 7, 2026
- Contact form
- pacificglobal.us/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pacificglobal.us/our-teamreportedpublished 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
- $21.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026