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•••••••• H••••• A•••• M••••••••• L•••
Latest filing Mar 18, 2026
First filing on the tape Feb 2, 2012 · 33 filings
SEC status approved since Jun 29, 1998
RAUM
$1.8B
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
66%
$1.2B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$230M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
3
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.8B as of Mar 18, 2026
Feb 2, 2012$1.1B then
HNW client RAUM$1.2B as of Mar 18, 2026
Mar 29, 2018$947M then
State-registered IARs (5.B.3)7 as of Mar 18, 2026
Feb 2, 20120 then
Employees (5.A)14 as of Mar 18, 2026
Mar 25, 201315 then
Private funds3 as of Mar 18, 2026
Feb 2, 20123 then
RAUM +11% over the last fiscal year+10% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $230MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.5MderivedHNW RAUM over HNW clients
- Average account
- $10.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%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
- 1.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Custody
- $232M, 30 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B65%
- Corporations and businesses$613M33%
- Individuals$17.6M1.0%
- Pooled investment vehicles$5.9M0.3%
- Individual clients
- 42reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 171reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $232M for 30 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• M•••••• E••••Certified Financial Planner | Fort Lauderdale, Fl | Nov 29, 2005 | 33 y | 0 |
| P••• B••••••• J•••••Certified Financial Planner | Atlanta, Ga | Dec 11, 2007 | 24 y | 0 |
| D•••• P•••••• W••••••Certified Financial Planner | Hillsboro, Or | Aug 21, 2012 | 24 y | 0 |
| M•••••• C•••••••• K•••••Certified Financial Planner | Fort Lauderdale, Fl | Dec 22, 2014 | 14 y | 1 |
| B••••••• C•••• S•••••••Certified Financial Planner | Austin, Tx | Mar 2, 2016 | 10 y | 0 |
| E••• A•••••• M•••••••Certified Financial Planner | Stamford, Ct | Jan 21, 2017 | 21 y | 0 |
| T••••• E• W••••Certified Financial Planner | Palm Coast, Fl | Apr 16, 2025 | 14 y | 0 |
| B•••••• T••••• A•••••Certified Financial Planner | Fort Lauderdale, Fl | Sep 2, 2025 | 11 y | 0 |
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 headcount2 left over 36 months
Left, latest
- R•••••••• D••••••• M••••• to H• W•••••Jun 30, 2025 · RIA to RIA
- A•••••• D•••••• C•••••••• to H•••••••• A•••••••• L••Apr 29, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• C•••••••• K••••• from E•••••• F•••••••• S•••••••• L••Dec 22, 2014 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P• I•••••••• R••••••••• E••••• I•• L•• | Private Equity Fund | $3.8M | 14 | Mar 27, 2015 |
| P• I•••••••• T•• A••• V••• L•• | Private Equity Fund | $3.7M | 10 | Mar 27, 2019 |
| P• I•••••••• T•• V••• L•• | Private Equity Fund | $1.9M | 16 | Mar 29, 2016 |
| P• I•••••••• C••••••••• O••••••••• L••no longer reported | Private Equity Fund | $0 | 17 | Feb 2, 2012 |
| P• I•••••••• T•• V•• L••no longer reported | Private Equity Fund | $0 | 22 | Feb 2, 2012 |
| P• I•••••••• R••••••••• E••••• F•••• L•• | Private Equity Fund | $0 | 18 | Feb 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E••••• L••••• M•••••• · President Of General Partnercontrolsince 11/1997 · owns less than 5%
- H••••• S••••••• D•••••• · Executive Vice President/Chief Operating Officercontrolsince 01/2012 · owns less than 5%
- J•••••• P•••• B••••••• · Managing Vice Presidentcontrolsince 07/2012 · owns less than 5%
- M•••••••• E•••• A•••••• · Vice Presidentcontrolsince 01/2017 · owns less than 5%
- S•••••••• B•••••••• C•••• · Chief Investment Officercontrolsince 04/2024 · owns less than 5%
- W••••••• D••••• P•••••• · Vice Presidentcontrolsince 01/2021 · owns less than 5%
- W•••• K••••••• A•• · Financial Planning Manager/Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- E••••• L••••• M•••••• · Grantor And Trusteecontrolsince 11/2001 · owns 75% or more of L•••• M• E•••• L••••• T••••
- E••••• L••••• F•••• · Trusteecontrolsince 11/2001 · owns F of L•••• M• E•••• L••••• T••••
Entity owners
- L•••• M• E•••• L••••• T•••• · Limited Partnerdirect · owns 75% or more
- P•••••••• H••••• A•••• M••••••••• I••• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••••••• H••••• F•••••••• G•••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl · principal | 4 | 0 | 0 | ||
| Atlanta, Ga | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA7 employees
- Miami, FL3 employees
- Stamford, CT2 employees
- Austin, TX1 employees
- Hillsboro, OR1 employees
What changed
consecutive filings, newest first
- Accounts · 174 to 171Jul 2, 2025 to Mar 18, 2026
- Advisory employees · 16 to 14Jul 2, 2025 to Mar 18, 2026
- HNW clients · 83 to 96Jul 2, 2025 to Mar 18, 2026
- Individual clients · 58 to 42Jul 2, 2025 to Mar 18, 2026
- Assets in custody · $209M to $232MJul 2, 2025 to Mar 18, 2026
- Employees · 16 to 14Jul 2, 2025 to Mar 18, 2026
- State-registered IARs · 8 to 7Jul 2, 2025 to Mar 18, 2026
- Discretionary RAUM · $725M to $771MJul 2, 2025 to Mar 18, 2026
- HNW RAUM · $1.1B to $1.2BJul 2, 2025 to Mar 18, 2026
- Individual RAUM · $50.4M to $17.6MJul 2, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $930M to $1.1BJul 2, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $4.9M to $5.9MJul 2, 2025 to Mar 18, 2026
- RAUM · $1.7B to $1.8BJul 2, 2025 to Mar 18, 2026
- Financial planning clients · 101-250 to 101-250Jun 30, 2025 to Jul 2, 2025
- Accounts · 176 to 174Apr 29, 2024 to Mar 26, 2025
- Advisory employees · 18 to 16Apr 29, 2024 to Mar 26, 2025
- Corporate clients · 11 to 10Apr 29, 2024 to Mar 26, 2025
- HNW clients · 85 to 83Apr 29, 2024 to Mar 26, 2025
- Individual clients · 59 to 58Apr 29, 2024 to Mar 26, 2025
- Assets in custody · $206M to $209MApr 29, 2024 to Mar 26, 2025
- Employees · 18 to 16Apr 29, 2024 to Mar 26, 2025
- State-registered IARs · 9 to 8Apr 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $684M to $725MApr 29, 2024 to Mar 26, 2025
- HNW RAUM · $963M to $1.1BApr 29, 2024 to Mar 26, 2025
- Individual RAUM · $45.4M to $50.4MApr 29, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $804M to $930MApr 29, 2024 to Mar 26, 2025
- RAUM · $1.5B to $1.7BApr 29, 2024 to Mar 26, 2025
- Accounts · 170 to 176Aug 3, 2023 to Mar 19, 2024
- Corporate clients · 12 to 11Aug 3, 2023 to Mar 19, 2024
- HNW clients · 86 to 85Aug 3, 2023 to Mar 19, 2024
- Individual clients · 52 to 59Aug 3, 2023 to Mar 19, 2024
- Assets in custody · $188M to $206MAug 3, 2023 to Mar 19, 2024
- Private funds · 4 to 3Aug 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $640M to $684MAug 3, 2023 to Mar 19, 2024
- HNW RAUM · $876M to $963MAug 3, 2023 to Mar 19, 2024
- Individual RAUM · $41.2M to $45.4MAug 3, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $736M to $804MAug 3, 2023 to Mar 19, 2024
- RAUM · $1.4B to $1.5BAug 3, 2023 to Mar 19, 2024
- Accounts · 163 to 170Mar 15, 2022 to Mar 27, 2023
- Advisory employees · 16 to 18Mar 15, 2022 to Mar 27, 2023
Signals
8 dated events
- R•••••••• D••••••• M••••• left P•••••••• H••••• A•••• M••••••••• L••• for H• W••••• (registered 2025-07-31)Jun 30, 2025 · Advisor changed firm · fact
- A•••••• D•••••• C•••••••• left P•••••••• H••••• A•••• M••••••••• L••• for H•••••••• A•••••••• L•• (registered 2024-07-26)Apr 29, 2024 · Advisor changed firm · fact
- D•••••• A•••••• C•••••••• (Chief Investment Officer) no longer on Schedule A of P•••••••• H••••• A•••• M••••••••• L••• (listed 2024-04-29, absent 2024-04-29)Apr 29, 2024 · Control person left · inference
- C•••• B••••••• S••••••• (Chief Investment Officer) appeared on Schedule A of P•••••••• H••••• A•••• M••••••••• L•••Apr 29, 2024 · Control person joined · fact
- D•••••• A•••••• C•••••••• (Chief Investment Officer) appeared on Schedule A of P•••••••• H••••• A•••• M••••••••• L•••Mar 27, 2023 · Control person joined · fact
- Patrick David Walters (Vice President) appeared on Schedule A of P•••••••• H••••• A•••• M••••••••• L•••Mar 30, 2021 · Control person joined · fact
- Field Linda Elkin (Trustee) appeared on Schedule A of P•••••••• H••••• A•••• M••••••••• L•••Mar 27, 2020 · Control person joined · fact
- Ann K•••••• W••• (Financial Planning Manager/Chief Compliance Officer) appeared on Schedule A of P•••••••• H••••• A•••• M••••••••• L•••Jan 8, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P•••••••• H••••• A•••• M••••••••• L••• · Independent Sponsorsshared crd · capital_provider
- P•••••••• H••••• A•••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 914-723-5000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 954-524-5552reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P••••••••-H•••••-FINANCIAL-GROUP-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••••••H•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 954-524-5552reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- palisadeshudson.com/2014/06/people-watching-from-the-blogospreportedpublished 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
- $230Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026