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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•• C•••••• A••••••• I••
Latest filing Sep 24, 2013
First filing on the tape Mar 27, 2012 · 3 filings
RAUM
$129M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$129M as of Mar 27, 2013
Mar 27, 2012$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2013
Mar 27, 20120 then
Employees (5.A): 7
Private funds: no history
RAUM +6.2% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Sep 24, 2013; every figure names its basis
- RAUM per advisor
- $32.3MderivedRAUM 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
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%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 assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
- 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)
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
- 19reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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••• A•••••• C•••• to P•• S••••••••• • R•••••••• I•••Feb 3, 2014 · Other
- T•••••• P•••• C•••••• to P•• S••••••••• • R•••••••• I•••Feb 3, 2014 · Other
Joined, latest
- M••• A•••••• C•••• from I••••••••• S•••••••• I•••Jan 7, 2013 · Other
- T•••••• P•••• C•••••• from I••••••••• S•••••••• I•••Jan 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• R•••• · Indirect Ownercontrolsince 01/1999 · owns 50% to 75%
- M•••••• J•••• M•••••• · Indirect Ownercontrolsince 01/1999 · owns 25% to 50%
- W••••• W••••• A•• · Chief Compliance Officersince 11/2003 · owns less than 5%
Entity owners
- P•• S••••••••• • R•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- P•• S••••••••• • R•••••••• I•••broker-dealerinvestment adviserreal estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 19Mar 27, 2012 to Mar 27, 2013
- Advisory employees · unset to 5.0Mar 27, 2012 to Mar 27, 2013
- Advisory activities · 2 to 3Mar 27, 2012 to Mar 27, 2013
- BD registered reps · unset to 4.0Mar 27, 2012 to Mar 27, 2013
- Employees · unset to 7.0Mar 27, 2012 to Mar 27, 2013
- Insurance-licensed employees · 0 to 1Mar 27, 2012 to Mar 27, 2013
- State-registered IARs · 0 to 4Mar 27, 2012 to Mar 27, 2013
- Discretionary RAUM · $122M to $129MMar 27, 2012 to Mar 27, 2013
- RAUM · $122M to $129MMar 27, 2012 to Mar 27, 2013
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