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•••• T•••••
Legal name P••••••••• C•••••• G••••• I•••
Latest filing Sep 26, 2025
First filing on the tape Apr 9, 2012 · 21 filings
SEC status approved since Apr 20, 1977
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$249M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$262M as of Sep 26, 2025
Sep 28, 2012$137M then
HNW client RAUM$199M as of Sep 26, 2025
Sep 28, 2018$95.3M then
State-registered IARs (5.B.3)2 as of Sep 26, 2025
Sep 28, 20120 then
Employees (5.A)4 as of Sep 26, 2025
Sep 27, 20134 then
Private funds: no history
RAUM +27% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 26, 2025; 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 94derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $551,856derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $64.4M, 59 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$199M76%
- Individuals$49.7M19%
- Charitable organizations$8.5M3.3%
- Pension and profit-sharing plans$3.3M1.2%
- Corporations and businesses$1.6M0.6%
- Individual clients
- 120reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 475reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.4M for 59 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••• K•••• | Alamo, Ca | Dec 10, 2025 | 44 y | 1 |
| J•••• W•••••• K•••• | Alamo, Ca | Dec 12, 2025 | 17 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••••• P••••• · Financial Plannercontrolsince 06/2022 · owns 25% to 50%
- K••••• J••••• W•••••• · Portfolio Manager, Chief Compliance Officercontrolsince 06/2016 · owns 25% to 50%
- K••••• T•••••• J••• · Chief Executive Officercontrolsince 07/2011 · owns 25% to 50%
- P••••• M•••••• J••• · Chairmancontrolsince 07/1988 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alamo, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Sep 26, 2025hourly charges (Item 5.E.2): yes on the filing of 2024-09-30, no on the filing of 2025-09-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 440 to 475Sep 30, 2024 to Sep 26, 2025
- Individual clients · 116 to 120Sep 30, 2024 to Sep 26, 2025
- Assets in custody · $53.5M to $64.4MSep 30, 2024 to Sep 26, 2025
- Financial planning clients · 1-10 to 11-25Sep 30, 2024 to Sep 26, 2025
- Discretionary RAUM · $238M to $262MSep 30, 2024 to Sep 26, 2025
- HNW RAUM · $187M to $199MSep 30, 2024 to Sep 26, 2025
- Individual RAUM · $39.3M to $49.7MSep 30, 2024 to Sep 26, 2025
- Non-discretionary RAUM · $507,933 to $569,641Sep 30, 2024 to Sep 26, 2025
- Pension RAUM · $5.2M to $3.3MSep 30, 2024 to Sep 26, 2025
- RAUM · $239M to $262MSep 30, 2024 to Sep 26, 2025
- Accounts · 434 to 440Nov 27, 2023 to Sep 30, 2024
- HNW clients · 55 to 68Nov 27, 2023 to Sep 30, 2024
- Individual clients · 124 to 116Nov 27, 2023 to Sep 30, 2024
- Assets in custody · $35.9M to $53.5MNov 27, 2023 to Sep 30, 2024
- Financial planning clients · 11-25 to 1-10Nov 27, 2023 to Sep 30, 2024
- HQ city · WALNUT CREEK to ALAMONov 27, 2023 to Sep 30, 2024
- Discretionary RAUM · $206M to $238MNov 27, 2023 to Sep 30, 2024
- HNW RAUM · $150M to $187MNov 27, 2023 to Sep 30, 2024
- Individual RAUM · $43.8M to $39.3MNov 27, 2023 to Sep 30, 2024
- Non-discretionary RAUM · $439,254 to $507,933Nov 27, 2023 to Sep 30, 2024
- Pension RAUM · $5.0M to $5.2MNov 27, 2023 to Sep 30, 2024
- RAUM · $206M to $239MNov 27, 2023 to Sep 30, 2024
- Accounts · 331 to 434Sep 30, 2022 to Oct 2, 2023
- Business name · P•••• T••••• C•••••• G•••• to P•••• T•••••Sep 30, 2022 to Oct 2, 2023
- HNW clients · 52 to 55Sep 30, 2022 to Oct 2, 2023
- Individual clients · 98 to 124Sep 30, 2022 to Oct 2, 2023
- Discretionary RAUM · $178M to $206MSep 30, 2022 to Oct 2, 2023
- HNW RAUM · $131M to $150MSep 30, 2022 to Oct 2, 2023
- Individual RAUM · $36.3M to $43.8MSep 30, 2022 to Oct 2, 2023
- Non-discretionary RAUM · $392,995 to $439,254Sep 30, 2022 to Oct 2, 2023
- Pension RAUM · $3.7M to $5.0MSep 30, 2022 to Oct 2, 2023
- RAUM · $178M to $206MSep 30, 2022 to Oct 2, 2023
- Accounts · 326 to 331Sep 29, 2021 to Sep 30, 2022
- HNW clients · 53 to 52Sep 29, 2021 to Sep 30, 2022
- Individual clients · 96 to 98Sep 29, 2021 to Sep 30, 2022
- Assets in custody · $48.0M to $35.9MSep 29, 2021 to Sep 30, 2022
- Employees · 3 to 4Sep 29, 2021 to Sep 30, 2022
- Discretionary RAUM · $183M to $178MSep 29, 2021 to Sep 30, 2022
- HNW RAUM · $131M to $131MSep 29, 2021 to Sep 30, 2022
- Individual RAUM · $40.2M to $36.3MSep 29, 2021 to Sep 30, 2022
Signals
1 dated events
- Dennis Joe Turner (President) no longer on Schedule A of P•••• T••••• (listed 2018-09-28, absent 2019-07-24)Jul 24, 2019 · Control person left · inference
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 phone
- 925-287-8527reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••T•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (925) 287-8527reportedpublic record, Form ADV, Sep 26, 2025
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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026