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••• I••••••••• M••••••••• L••

Former SEC-registered adviserMissoula, MontanaCRD 107918SEC 801-54886IAPD
Legal name P••• I••••••••• M••••••••• L•••
Latest filing Feb 10, 2016
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$207M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$207M as of Jan 29, 2016
Mar 30, 2012$237M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2016
Mar 30, 20120 then
Employees (5.A)3 as of Jan 29, 2016
Apr 1, 20134 then
Private funds: no history
RAUM +2.6% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
98reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••••••• D••••• R••••• · Presidentcontrol
    since 08/1997 · owns less than 5%
  • N•••••• J••••••• R•••• · Chief Compliance Officer/Operations Manager
    since 08/2001 · owns less than 5%
Entity owners
  • A••• C••••••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • A••• C•••••••••
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 109 to 98
    Apr 21, 2015 to Jan 29, 2016
  • Discretionary RAUM · $202M to $207M
    Apr 21, 2015 to Jan 29, 2016
  • RAUM · $202M to $207M
    Apr 21, 2015 to Jan 29, 2016
  • Accounts · 104 to 109
    Dec 15, 2014 to Mar 20, 2015
  • Discretionary RAUM · $188M to $202M
    Dec 15, 2014 to Mar 20, 2015
  • RAUM · $188M to $202M
    Dec 15, 2014 to Mar 20, 2015
  • Advisory activities · 3 to 2
    Sep 11, 2014 to Dec 15, 2014
  • Accounts · 133 to 104
    Aug 14, 2013 to Mar 19, 2014
  • Discretionary RAUM · $202M to $188M
    Aug 14, 2013 to Mar 19, 2014
  • RAUM · $202M to $188M
    Aug 14, 2013 to Mar 19, 2014
  • Advisory employees · 3 to 2
    Apr 1, 2013 to Apr 19, 2013
  • Employees · 4 to 3
    Apr 1, 2013 to Apr 19, 2013
  • Accounts · 135 to 133
    Nov 14, 2012 to Apr 1, 2013
  • Discretionary RAUM · $206M to $202M
    Nov 14, 2012 to Apr 1, 2013
  • RAUM · $206M to $202M
    Nov 14, 2012 to Apr 1, 2013
  • Advisory employees · unset to 3.0
    Jul 31, 2012 to Nov 14, 2012
  • Business name · P••• I••••••••• M••••••••• L••• A•• A••• F•••••••• S••••••• to P••• I••••••••• M••••••••• L••
    Jul 31, 2012 to Nov 14, 2012
  • Employees · unset to 4.0
    Jul 31, 2012 to Nov 14, 2012
  • Accounts · 233 to 135
    Mar 30, 2012 to Jul 31, 2012
  • Advisory activities · 4 to 3
    Mar 30, 2012 to Jul 31, 2012
  • Discretionary RAUM · $237M to $206M
    Mar 30, 2012 to Jul 31, 2012
  • RAUM · $237M to $206M
    Mar 30, 2012 to Jul 31, 2012
  • Related adviser · true to false
    Mar 30, 2012 to Jul 31, 2012
Signals
No event on the tape.
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