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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Former SEC-registered adviser
P•••• I••••••••• A•••••••
Legal name P•••• I••••••••• A••••••• C•••••••••
Latest filing Jun 1, 2022
First filing on the tape Nov 23, 2011 · 10 filings
RAUM
$151M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$151M as of Mar 28, 2022
Feb 28, 2012$62.9M then
HNW client RAUM: $131M
State-registered IARs (5.B.3): 1
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 1, 2022; every figure names its basis
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M87%
- Individuals$18.5M12%
- Charitable organizations$1.0M0.7%
- Individual clients
- 46reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 87reported
- Financial planning clients
- 1-10reported
- 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
Left, latest
- T••• N••••• to C••••••••• F•••••••• N••••••Nov 17, 2016 · Other
Joined, latest
- T••• N••••• from S•••••••••May 6, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• S••••••• S•••••• · President/Chief Compliance Officercontrolsince 10/1991 · owns 75% or more
Related persons
Schedule D 7.A
- C•• K•••••••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 150600000.0 to unsetMar 28, 2022 to Jun 1, 2022
- Custody of client assets · true to falseMar 28, 2022 to Jun 1, 2022
- HNW clients · 37 to 39May 3, 2021 to Mar 28, 2022
- Individual clients · 48 to 46May 3, 2021 to Mar 28, 2022
- Assets in custody · $133M to $151MMay 3, 2021 to Mar 28, 2022
- Discretionary RAUM · $122M to $138MMay 3, 2021 to Mar 28, 2022
- HNW RAUM · $111M to $131MMay 3, 2021 to Mar 28, 2022
- Individual RAUM · $20.5M to $18.5MMay 3, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $11.1M to $12.4MMay 3, 2021 to Mar 28, 2022
- RAUM · $133M to $151MMay 3, 2021 to Mar 28, 2022
- Accounts · 256 to 87Mar 23, 2012 to May 3, 2021
- Advisory employees · unset to 1.0Mar 23, 2012 to May 3, 2021
- HNW clients · unset to 37.0Mar 23, 2012 to May 3, 2021
- Individual clients · unset to 48.0Mar 23, 2012 to May 3, 2021
- Assets in custody · $61.0M to $133MMar 23, 2012 to May 3, 2021
- Employees · unset to 3.0Mar 23, 2012 to May 3, 2021
- State-registered IARs · unset to 1.0Mar 23, 2012 to May 3, 2021
- Other offices · unset to 0.0Mar 23, 2012 to May 3, 2021
- Discretionary RAUM · $50.1M to $122MMar 23, 2012 to May 3, 2021
- HNW RAUM · unset to 111300000.0Mar 23, 2012 to May 3, 2021
- Individual RAUM · unset to 20500000.0Mar 23, 2012 to May 3, 2021
- Non-discretionary RAUM · $12.8M to $11.1MMar 23, 2012 to May 3, 2021
- RAUM · $62.9M to $133MMar 23, 2012 to May 3, 2021
- Accounts · 64 to 256Feb 1, 2012 to Feb 28, 2012
- Discretionary RAUM · $43.0M to $50.1MFeb 1, 2012 to Feb 28, 2012
- Non-discretionary RAUM · $18.0M to $12.8MFeb 1, 2012 to Feb 28, 2012
- RAUM · $61.0M to $62.9MFeb 1, 2012 to Feb 28, 2012
- Assets in custody · unset to 61000000.0Jan 4, 2012 to Feb 1, 2012
- Custody of client assets · false to trueJan 4, 2012 to Feb 1, 2012
Signals
1 dated events
- P•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)May 3, 2021 · First SEC registration · fact
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