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•••••••• I•••

Former SEC-registered adviserRedmond, WashingtonCRD 107680SEC 801-33673IAPD
Legal name P•••• A••••••• I••
Latest filing Jun 18, 2019
First filing on the tape Dec 13, 2011 · 21 filings
RAUM
$18B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
31%
$5.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
56
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$18B as of Mar 29, 2019
Mar 30, 2012$12B then
HNW client RAUM$5.5B as of Mar 29, 2019
Mar 30, 2018$4.6B then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)56 as of Mar 29, 2019
Mar 28, 201345 then
Private funds: no history
RAUM +3.1% over the last fiscal year+11% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Jun 18, 2019; every figure names its basis
RAUM per advisor
$18BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$610MderivedHNW RAUM over HNW clients
Average account
$49.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
56.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
-80%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • 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
  • Insurance companies$12B69%
  • High-net-worth individuals$5.5B31%
  • Charitable organizations$14.8M0.1%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
359reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• R•••••••• B•••• · Board Membercontrol
        since 04/2018 · owns less than 5%
      • D••••• S•••• · Board Membercontrol
        since 07/2015 · owns less than 5%
      • O••••••• B•••••• D•••• · Chief Compliance Officer, Chief Financial Officer And Chief Administrative Officercontrol
        since 10/2007 · owns less than 5%
      • P••••••• S••••••• C• · Board Membercontrol
        since 07/2015 · owns less than 5%
      • T••••••••• M•••• W•••••• · Presidentcontrol
        since 12/2018 · owns less than 5%
      Entity owners
      • S•• L••• F•••••••• ••••• I••••••••• L•• · Sole Shareholder
        direct · owns 75% or more
      • S•• L••• 2••••• F•••••••• C••• · Shareholder
        indirect · owns 75% or more of S•• L••• A•••••••• C•••••• O• C••••• - US Operations Holdings, Inc.
      • S•• L••• F•••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of S•• L••• G••••• I••••••••• I••• · public reporting company
      • S•• L••• G••••• I••••••••• I••• · Sole Shareholder
        indirect · owns 75% or more of S•• L••• 2••••• F•••••••• C•••
      Related persons
      Schedule D 7.A
      Advisers that list P•••• A•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Windsor, CT9 employees
      What changed
      consecutive filings, newest first
      • Accounts · 328 to 359
        Jan 4, 2019 to Mar 29, 2019
      • Advisory employees · 25 to 24
        Jan 4, 2019 to Mar 29, 2019
      • HNW clients · 8 to 9
        Jan 4, 2019 to Mar 29, 2019
      • Employees · 53 to 56
        Jan 4, 2019 to Mar 29, 2019
      • State-registered IARs · 5 to 1
        Jan 4, 2019 to Mar 29, 2019
      • Discretionary RAUM · $17B to $17B
        Jan 4, 2019 to Mar 29, 2019
      • HNW RAUM · $4.6B to $5.5B
        Jan 4, 2019 to Mar 29, 2019
      • Non-discretionary RAUM · $231M to $170M
        Jan 4, 2019 to Mar 29, 2019
      • RAUM · $17B to $18B
        Jan 4, 2019 to Mar 29, 2019
      • Accounts · 282 to 328
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 27 to 25
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 2.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 8.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 48 to 53
        Mar 31, 2017 to Mar 30, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $14B to $17B
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 4560762902.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $860M to $231M
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $15B to $17B
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 194 to 282
        Jan 3, 2017 to Mar 31, 2017
      • Advisory employees · 25 to 27
        Jan 3, 2017 to Mar 31, 2017
      • Employees · 47 to 48
        Jan 3, 2017 to Mar 31, 2017
      • Discretionary RAUM · $12B to $14B
        Jan 3, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $548M to $860M
        Jan 3, 2017 to Mar 31, 2017
      • RAUM · $13B to $15B
        Jan 3, 2017 to Mar 31, 2017
      • Accounts · 175 to 194
        Aug 26, 2015 to Mar 30, 2016
      • Advisory employees · 16 to 25
        Aug 26, 2015 to Mar 30, 2016
      • Employees · 45 to 47
        Aug 26, 2015 to Mar 30, 2016
      • Discretionary RAUM · $12B to $12B
        Aug 26, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $106M to $548M
        Aug 26, 2015 to Mar 30, 2016
      • RAUM · $12B to $13B
        Aug 26, 2015 to Mar 30, 2016
      • Related adviser · false to true
        May 21, 2015 to Aug 14, 2015
      • Related bank · false to true
        May 21, 2015 to Aug 14, 2015
      • Related broker-dealer · false to true
        May 21, 2015 to Aug 14, 2015
      • Business name · P•••• A••••••• I•• to P•••• A•••••••• I•••
        Mar 27, 2015 to Mar 30, 2015
      • Accounts · 165 to 175
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $12B to $12B
        Mar 31, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $67.9M to $106M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $12B to $12B
        Mar 31, 2014 to Mar 27, 2015
      Signals
      2 dated events
      • Wallace Marc Tollefson (President) appeared on Schedule A of P•••• A•••••••• I•••
        Jan 4, 2019 · Control person joined · fact
      • C. Steven Doire (President) no longer on Schedule A of P•••• A•••••••• I••• (listed 2018-04-30, absent 2019-01-04)
        Jan 4, 2019 · 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.
      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