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••••••••• P••••••• G••••
Legal name N•• E•••••• P••••••••• P••••••• G•••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 26, 2012 · 54 filings
SEC status approved since Jul 18, 1980
RAUM
$1.3B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$1.3B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$146M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$1.3B as of Mar 26, 2026
Mar 26, 2012$501M then
HNW client RAUM$948M as of Mar 26, 2026
Mar 26, 2018$533M then
State-registered IARs (5.B.3)9 as of Mar 26, 2026
Mar 26, 20120 then
Employees (5.A)16 as of Mar 26, 2026
Mar 13, 201315 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 26, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $549,656derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- 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
- High-net-worth individuals$948M72%
- Individuals$354M27%
- Charitable organizations$14.6M1.1%
- Individual clients
- 903reported
- HNW clients
- 378reported
- Pension plan clients
- 0reported
- Charitable clients
- 11reported
- Accounts
- 2,395reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- $0 sponsored, $1.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=10.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A••••• M••••Certified Financial Planner | Westerly, Ri | Jan 1, 1993 | 51 y | 1 |
| P•••• C•••• W•••••• | Westerly, Ri | Jan 1, 2000 | 30 y | 1 |
| C••••••••• G••••• W••••••Chartered Financial Analyst | Westerly, Ri | Jan 1, 2003 | 24 y | 1 |
| A••••• M••••••• S••••• | Westerly, Ri | Jun 28, 2019 | 29 y | 3 |
| P•••••• J••••• C••••••• | Westerly, Ri | Oct 2, 2019 | 11 y | 1 |
| T••• J••••• W•••••• | Westerly, Ri | Aug 24, 2023 | 20 y | 2 |
| D•••• G•••••• A•••••Chartered Financial Analyst | Westerly, Ri | Sep 29, 2023 | 10 y | 0 |
| E••• M•••••• W•••••Chartered Financial Analyst | Westerly, Ri | Dec 20, 2024 | 18 y | 0 |
| B•••• D•••• P•••••Certified Financial Planner | Westerly, Ri | Apr 4, 2025 | 19 y | 5 |
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
- M•••••• F•••••• D••••• to M•• I••••••••• A••••••• I•••Oct 18, 2023 · Other
- S•••••••• M••••• to O•••• I••••••••• I•••May 18, 2023 · RIA to affiliated broker-dealer or bank
- G•••••••• P•••••• to M••••• S••••••Oct 24, 2022 · RIA to wirehouse
Joined, latest
- B•••• D•••• P••••• from C•••••• S••••• • C••• I•••Apr 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••• J••••• W•••••• from C••••••••• F•••••••• N••••••Aug 24, 2023 · Affiliated broker-dealer or bank to independent RIA
- G•••••••• P•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 15, 2020 · Wirehouse to independent RIA
- S•••••••• M••••• from O•••• I••••••••• I•••Jan 22, 2020 · Affiliated broker-dealer or bank to independent RIA
- P•••••• J••••• C••••••• from S••••••• F•••••••• S•••••••• I•••Oct 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••••• M••••••• S••••• from L•• F•••••••• L••Jun 28, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••••• A••••• · President, Chief Executive Officer And Chief Compliance Officercontrolsince 07/1980 · owns less than 5%
- V••••••••• J•••••• E•••• · Chief Operating Officercontrolsince 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
- J••••• E• V••••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerly, Ri · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,354 to 2,395Oct 16, 2025 to Mar 26, 2026
- Advisory activities · 4 to 5Oct 16, 2025 to Mar 26, 2026
- BD registered reps · 12 to 10Oct 16, 2025 to Mar 26, 2026
- Charity clients · 10 to 11Oct 16, 2025 to Mar 26, 2026
- HNW clients · 341 to 378Oct 16, 2025 to Mar 26, 2026
- Individual clients · 945 to 903Oct 16, 2025 to Mar 26, 2026
- Employees · 19 to 16Oct 16, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.1B to $1.2BOct 16, 2025 to Mar 26, 2026
- HNW RAUM · $804M to $948MOct 16, 2025 to Mar 26, 2026
- Individual RAUM · $349M to $354MOct 16, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $67.7M to $71.3MOct 16, 2025 to Mar 26, 2026
- RAUM · $1.2B to $1.3BOct 16, 2025 to Mar 26, 2026
- Wrap assets (manager) · $1.1B to $1.3BOct 16, 2025 to Mar 26, 2026
- Accounts · 2,350 to 2,354Jan 30, 2025 to Mar 24, 2025
- Advisory employees · 8 to 9Jan 30, 2025 to Mar 24, 2025
- BD registered reps · 11 to 12Jan 30, 2025 to Mar 24, 2025
- HNW clients · 305 to 341Jan 30, 2025 to Mar 24, 2025
- Individual clients · 975 to 945Jan 30, 2025 to Mar 24, 2025
- Employees · 17 to 19Jan 30, 2025 to Mar 24, 2025
- Financial planning clients · More than 500 to More than 500Jan 30, 2025 to Mar 24, 2025
- State-registered IARs · 8 to 9Jan 30, 2025 to Mar 24, 2025
- Discretionary RAUM · $983M to $1.1BJan 30, 2025 to Mar 24, 2025
- HNW RAUM · $687M to $804MJan 30, 2025 to Mar 24, 2025
- Individual RAUM · $355M to $349MJan 30, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $72.1M to $67.7MJan 30, 2025 to Mar 24, 2025
- RAUM · $1.1B to $1.2BJan 30, 2025 to Mar 24, 2025
- Wrap assets (manager) · $992M to $1.1BJan 30, 2025 to Mar 24, 2025
- Accounts · 2,378 to 2,350Nov 16, 2023 to Mar 27, 2024
- Advisory employees · 9 to 8Nov 16, 2023 to Mar 27, 2024
- BD registered reps · 13 to 11Nov 16, 2023 to Mar 27, 2024
- Charity clients · 9 to 10Nov 16, 2023 to Mar 27, 2024
- HNW clients · 268 to 305Nov 16, 2023 to Mar 27, 2024
- Individual clients · 1,029 to 975Nov 16, 2023 to Mar 27, 2024
- Employees · 18 to 17Nov 16, 2023 to Mar 27, 2024
- State-registered IARs · 9 to 8Nov 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $869M to $983MNov 16, 2023 to Mar 27, 2024
- HNW RAUM · $578M to $687MNov 16, 2023 to Mar 27, 2024
- Individual RAUM · $348M to $355MNov 16, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $67.9M to $72.1MNov 16, 2023 to Mar 27, 2024
- RAUM · $937M to $1.1BNov 16, 2023 to Mar 27, 2024
Signals
5 dated events
- M•••••• F•••••• D••••• left P••••••••• P••••••• G•••• for M•• I••••••••• A••••••• I••• (registered 2025-07-03)Oct 18, 2023 · Advisor changed firm · fact
- F•••••• M•••••• D••••• (Chief Investment Officer) no longer on Schedule A of P••••••••• P••••••• G•••• (listed 2023-08-28, absent 2023-10-17)Oct 17, 2023 · Control person left · inference
- S•••••••• M••••• left P••••••••• P••••••• G•••• for O•••• I••••••••• I••• (registered 2023-05-19)May 18, 2023 · Advisor changed firm · fact
- G•••••••• P•••••• left P••••••••• P••••••• G•••• for M••••• S•••••• (registered 2022-12-12)Oct 24, 2022 · Advisor changed firm · fact
- F•••••• M•••••• D••••• (Chief Investment Officer) appeared on Schedule A of P••••••••• P••••••• G••••Aug 17, 2020 · Control person joined · fact
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 email
- jvalentini@ppgadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-596-2800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 401-596-5980reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ppgadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (401) 596-2800reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- ppgadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ppgadvisors.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026