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.

Former SEC-registered adviser

Pacwest Financial Management Inc

Former SEC-registered adviserPhoenix, ArizonaCRD 108740SEC 801-55059IAPD
Legal name Pacwest Financial Management, Inc.
Latest filing Mar 11, 2016
First filing on the tape Mar 26, 2012 · 9 filings
RAUM
$226M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$226M as of Mar 11, 2016
Mar 26, 2012$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 11, 2016
Mar 26, 20120 then
Employees (5.A)6 as of Mar 11, 2016
Mar 21, 20136 then
Private funds: no history
RAUM +0.3% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 11, 2016; every figure names its basis
RAUM per advisor
$75.3MderivedRAUM 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
$510,856derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, educational seminarsreportedItem 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)
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
442reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Craig Elliot Kauffman · Chief Compliance Officercontrol
    since 12/2006 · owns less than 5%
  • Grace Lau · Chief Executive Officercontrol
    since 03/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 411 to 442
    Mar 17, 2015 to Mar 11, 2016
  • Advisory employees · 3 to 4
    Mar 17, 2015 to Mar 11, 2016
  • Financial planning clients · 11-25 to 26-50
    Mar 17, 2015 to Mar 11, 2016
  • Discretionary RAUM · $225M to $226M
    Mar 17, 2015 to Mar 11, 2016
  • RAUM · $225M to $226M
    Mar 17, 2015 to Mar 11, 2016
  • Accounts · 414 to 411
    Oct 14, 2014 to Mar 17, 2015
  • Financial planning clients · 1-10 to 11-25
    Oct 14, 2014 to Mar 17, 2015
  • State-registered IARs · 2 to 3
    Oct 14, 2014 to Mar 17, 2015
  • Discretionary RAUM · $204M to $225M
    Oct 14, 2014 to Mar 17, 2015
  • RAUM · $204M to $225M
    Oct 14, 2014 to Mar 17, 2015
  • State-registered IARs · 3 to 2
    Mar 21, 2014 to Oct 14, 2014
  • Accounts · 384 to 414
    May 21, 2013 to Mar 21, 2014
  • Discretionary RAUM · $161M to $204M
    May 21, 2013 to Mar 21, 2014
  • RAUM · $161M to $204M
    May 21, 2013 to Mar 21, 2014
  • Accounts · 496 to 384
    Mar 26, 2012 to Mar 21, 2013
  • Advisory employees · unset to 3.0
    Mar 26, 2012 to Mar 21, 2013
  • Advisory activities · 6 to 5
    Mar 26, 2012 to Mar 21, 2013
  • Employees · unset to 6.0
    Mar 26, 2012 to Mar 21, 2013
  • State-registered IARs · 0 to 3
    Mar 26, 2012 to Mar 21, 2013
  • Discretionary RAUM · $233M to $161M
    Mar 26, 2012 to Mar 21, 2013
  • RAUM · $233M to $161M
    Mar 26, 2012 to Mar 21, 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