DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P•••••• P••••••••• I•••

Independent wealth managerSan Mateo, CaliforniaCRD 111905SEC 801-110209website IAPD

Latest filing Sep 2, 2026

First filing on the tape Mar 16, 2017 · 22 filings

SEC status approved since Apr 3, 2017

RAUM

$293M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$290M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$147M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$293M as of Aug 10, 2026

Jan 17, 2018$158M then

HNW client RAUM$181M as of Aug 10, 2026

Jan 17, 2018$104M then

State-registered IARs (5.B.3)2 as of Aug 10, 2026

Jan 17, 20183 then

Employees (5.A)3 as of Aug 10, 2026

Jan 17, 20185 then

Private funds: no history

RAUM +6.3% over the last fiscal year+9.9% a year over threeIARs 3 to 2

Practice profile

derived from the filing of Sep 2, 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
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: $147MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 130derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $646,418derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +6.3%derivedbetween the last two annual amendments
Advisor growth, one year: -33%derivedItem 5.B.3 between annual amendments
Client growth, one year: -2.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
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

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)
compensates persons for client referrals (8.G.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$181M62%
Individuals$109M37%
Pension and profit-sharing plans$2.7M0.9%
Charitable organizations$593,0210.2%

Individual clients: 175reported
HNW clients: 84reported
Pension plan clients: 8reported
Charitable clients: n/areported
Accounts: 454reported
Financial planning clients: 11-25reported
Wrap fee programs: $0 sponsored, $293M 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= related_bank= bd_reps=2.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D••••• B•••• B•••	San Mateo, Ca	Sep 18, 2000	33 y	0
M••• T•••• F••••••Certified Financial Planner	San Mateo, Ca	Oct 30, 2012	16 y	2

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

M••• T•••• F•••••• from A•• C•••••• M••••••••• L••
Oct 30, 2012 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••• D•••••• B•••• · Vice Presidentcontrol
since 02/2002 · owns 10% to 25%
B•••• R•••••• F•••• · President / Chief Compliance Officercontrol
since 08/1984 · owns 75% or more

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
San Mateo, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 11-25 to 11-25
Aug 10, 2026 to Sep 2, 2026
Related adviser · false to unset
Aug 10, 2026 to Sep 2, 2026
Related bank · false to unset
Aug 10, 2026 to Sep 2, 2026
Related broker-dealer · false to unset
Aug 10, 2026 to Sep 2, 2026
Related insurance company · false to unset
Aug 10, 2026 to Sep 2, 2026
Succession · false to unset
Aug 10, 2026 to Sep 2, 2026
Accounts · 458 to 454
Feb 21, 2025 to Jan 15, 2026
Advisory employees · 3 to 2
Feb 21, 2025 to Jan 15, 2026
BD registered reps · 3 to 2
Feb 21, 2025 to Jan 15, 2026
HNW clients · 87 to 84
Feb 21, 2025 to Jan 15, 2026
Individual clients · 178 to 175
Feb 21, 2025 to Jan 15, 2026
Pension plan clients · 10 to 8
Feb 21, 2025 to Jan 15, 2026
Employees · 4 to 3
Feb 21, 2025 to Jan 15, 2026
State-registered IARs · 3 to 2
Feb 21, 2025 to Jan 15, 2026
Discretionary RAUM · $276M to $293M
Feb 21, 2025 to Jan 15, 2026
HNW RAUM · $166M to $181M
Feb 21, 2025 to Jan 15, 2026
Individual RAUM · $99.9M to $109M
Feb 21, 2025 to Jan 15, 2026
Pension RAUM · $9.7M to $2.7M
Feb 21, 2025 to Jan 15, 2026
RAUM · $276M to $293M
Feb 21, 2025 to Jan 15, 2026
Wrap assets (manager) · $237M to $293M
Feb 21, 2025 to Jan 15, 2026
Accounts · 486 to 458
Jun 25, 2024 to Feb 21, 2025
Advisory activities · 3 to 4
Jun 25, 2024 to Feb 21, 2025
HNW clients · 79 to 87
Jun 25, 2024 to Feb 21, 2025
Individual clients · 212 to 178
Jun 25, 2024 to Feb 21, 2025
Pension plan clients · 8 to 10
Jun 25, 2024 to Feb 21, 2025
Financial planning clients · 251-500 to 11-25
Jun 25, 2024 to Feb 21, 2025
Discretionary RAUM · $237M to $276M
Jun 25, 2024 to Feb 21, 2025
HNW RAUM · $126M to $166M
Jun 25, 2024 to Feb 21, 2025
Individual RAUM · $100M to $99.9M
Jun 25, 2024 to Feb 21, 2025
Pension RAUM · $9.8M to $9.7M
Jun 25, 2024 to Feb 21, 2025
RAUM · $237M to $276M
Jun 25, 2024 to Feb 21, 2025
Accounts · 479 to 486
Jan 18, 2023 to Jan 31, 2024
HNW clients · 67 to 79
Jan 18, 2023 to Jan 31, 2024
Individual clients · 190 to 212
Jan 18, 2023 to Jan 31, 2024
Pension plan clients · 6 to 8
Jan 18, 2023 to Jan 31, 2024
Discretionary RAUM · $221M to $237M
Jan 18, 2023 to Jan 31, 2024
HNW RAUM · $133M to $126M
Jan 18, 2023 to Jan 31, 2024
Individual RAUM · $78.3M to $100M
Jan 18, 2023 to Jan 31, 2024
Pension RAUM · $9.1M to $9.8M
Jan 18, 2023 to Jan 31, 2024
RAUM · $221M to $237M
Jan 18, 2023 to Jan 31, 2024

Signals

1 dated events

P•••••• P••••••••• I••• filed its initial SEC registration (Form ADV)
Mar 16, 2017 · 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.

How to reach

public business contact points only, each with its source

Business email: c••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: d••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 650-548-9800reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 650-548-9882reportedpublished by the firm, firm site, Sep 15, 2026
Website: P••••••P•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 650-548-9800reportedpublic record, Form ADV, Sep 2, 2026
Contact form: p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: p•••••••••.comreportedpublished 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: $147Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026