DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••• I••••••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 24, 2012 · 17 filings
SEC status approved since Mar 23, 1999
RAUM
$725M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$725M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$363M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$725M as of Mar 18, 2026
Mar 24, 2012$249M then
HNW client RAUM$696M as of Mar 18, 2026
Mar 30, 2018$348M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 24, 20120 then
Employees (5.A)5 as of Mar 18, 2026
Mar 7, 20133 then
Private funds: no history
RAUM +9.0% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $363MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $934,460derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$696M96%
- Individuals$29.1M4.0%
- Individual clients
- 143reported
- HNW clients
- 188reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 776reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| S••••• L•• | Atherton, Ca | May 17, 2010 | 18 y | 0 |
| J••• W•••• P••••• | Atherton, Ca | May 17, 2010 | 16 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
- P•••••• J•••• W•••• · Member/Ownercontrolsince 06/2010 · owns 75% or more
- L••• S••••• · Chief Compliance Officersince 10/2016 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Atherton, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 788 to 776Feb 25, 2025 to Mar 18, 2026
- HNW clients · 199 to 188Feb 25, 2025 to Mar 18, 2026
- Individual clients · 135 to 143Feb 25, 2025 to Mar 18, 2026
- Discretionary RAUM · $665M to $725MFeb 25, 2025 to Mar 18, 2026
- HNW RAUM · $638M to $696MFeb 25, 2025 to Mar 18, 2026
- Individual RAUM · $27.0M to $29.1MFeb 25, 2025 to Mar 18, 2026
- RAUM · $665M to $725MFeb 25, 2025 to Mar 18, 2026
- Accounts · 800 to 788Mar 18, 2024 to Feb 25, 2025
- HNW clients · 207 to 199Mar 18, 2024 to Feb 25, 2025
- Individual clients · 133 to 135Mar 18, 2024 to Feb 25, 2025
- Financial planning clients · unset to Mar 18, 2024 to Feb 25, 2025
- HQ city · unset to Mar 18, 2024 to Feb 25, 2025
- HQ state · unset to Mar 18, 2024 to Feb 25, 2025
- Discretionary RAUM · $536M to $665MMar 18, 2024 to Feb 25, 2025
- HNW RAUM · $513M to $638MMar 18, 2024 to Feb 25, 2025
- Individual RAUM · $23.6M to $27.0MMar 18, 2024 to Feb 25, 2025
- RAUM · $536M to $665MMar 18, 2024 to Feb 25, 2025
- Accounts · 859 to 800Mar 23, 2023 to Mar 18, 2024
- HNW clients · 220 to 207Mar 23, 2023 to Mar 18, 2024
- Individual clients · 154 to 133Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $414M to $536MMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $392M to $513MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $21.2M to $23.6MMar 23, 2023 to Mar 18, 2024
- RAUM · $414M to $536MMar 23, 2023 to Mar 18, 2024
- Accounts · 875 to 859Mar 24, 2022 to Mar 23, 2023
- HNW clients · 239 to 220Mar 24, 2022 to Mar 23, 2023
- Individual clients · 141 to 154Mar 24, 2022 to Mar 23, 2023
- Employees · 4 to 5Mar 24, 2022 to Mar 23, 2023
- Discretionary RAUM · $657M to $414MMar 24, 2022 to Mar 23, 2023
- HNW RAUM · $636M to $392MMar 24, 2022 to Mar 23, 2023
- Individual RAUM · $21.4M to $21.2MMar 24, 2022 to Mar 23, 2023
- RAUM · $657M to $414MMar 24, 2022 to Mar 23, 2023
- Accounts · 842 to 875Mar 31, 2021 to Mar 24, 2022
- HNW clients · 245 to 239Mar 31, 2021 to Mar 24, 2022
- Individual clients · 128 to 141Mar 31, 2021 to Mar 24, 2022
- Discretionary RAUM · $540M to $657MMar 31, 2021 to Mar 24, 2022
- HNW RAUM · $512M to $636MMar 31, 2021 to Mar 24, 2022
- Individual RAUM · $28.4M to $21.4MMar 31, 2021 to Mar 24, 2022
- RAUM · $540M to $657MMar 31, 2021 to Mar 24, 2022
- Accounts · 818 to 842Jun 26, 2020 to Mar 29, 2021
Signals
3 dated events
- P••••• I••••••••• M••••••••• L•• reported RAUM $536.4M, up 30% from $413.7M (2023-03-23 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- P••••• I••••••••• M••••••••• L•• reported RAUM $413.7M, down 37% from $656.9M (2022-03-24 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- P••••• I••••••••• M••••••••• L•• reported RAUM $540.5M, up 26% from $429.1M (2020-06-26 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
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
- s••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-321-1027reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-326-0387reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P•••••INVEST.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 650-326-0387reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $363Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026