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

S• A•••• M•••••••••

Former SEC-registered adviserCupertino, CaliforniaCRD 113178SEC 801-60660IAPD
Legal name P•••••• S•••••• M••••••••
Latest filing Mar 29, 2022
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
92%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.4B as of Mar 29, 2022
Mar 28, 2012$95.0M then
HNW client RAUM$1.3B as of Mar 29, 2022
Mar 13, 2018$390M then
State-registered IARs (5.B.3)1 as of Mar 29, 2022
Mar 28, 20120 then
Employees (5.A)2 as of Mar 29, 2022
Mar 7, 20131 then
Private funds: 1
RAUM +62% over the last fiscal year+42% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$1.4BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
175derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.6MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
62%derivedof RAUM
Institutional
6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.3B90%
  • Pension and profit-sharing plans$86.0M6.0%
  • Individuals$30.0M2.1%
  • Corporations and businesses$25.0M1.7%
Individual clients
40reported
HNW clients
135reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
606reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••• S•••••• · Presidentcontrol
      since 01/1995 · owns 75% or more
    Related persons
    Schedule D 7.A
    • P••••• I•••••••• S•••••••• L••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 547 to 606
      Mar 31, 2021 to Mar 29, 2022
    • Advisory activities · 2 to 3
      Mar 31, 2021 to Mar 29, 2022
    • Corporate clients · 6 to 10
      Mar 31, 2021 to Mar 29, 2022
    • HNW clients · 125 to 135
      Mar 31, 2021 to Mar 29, 2022
    • Individual clients · 30 to 40
      Mar 31, 2021 to Mar 29, 2022
    • Pension plan clients · 7.0 to unset
      Mar 31, 2021 to Mar 29, 2022
    • Assets in custody · $30.6M to $85.3M
      Mar 31, 2021 to Mar 29, 2022
    • Financial planning clients · 51-100 to 101-250
      Mar 31, 2021 to Mar 29, 2022
    • Organization form · Sole Proprietorship to Limited Liability Company
      Mar 31, 2021 to Mar 29, 2022
    • Private funds · unset to 1
      Mar 31, 2021 to Mar 29, 2022
    • Discretionary RAUM · $611M to $899M
      Mar 31, 2021 to Mar 29, 2022
    • HNW RAUM · $845M to $1.3B
      Mar 31, 2021 to Mar 29, 2022
    • Individual RAUM · $15.0M to $30.0M
      Mar 31, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $280M to $542M
      Mar 31, 2021 to Mar 29, 2022
    • Pension RAUM · $15.6M to $86.0M
      Mar 31, 2021 to Mar 29, 2022
    • RAUM · $891M to $1.4B
      Mar 31, 2021 to Mar 29, 2022
    • Succession · false to true
      Mar 31, 2021 to Mar 29, 2022
    • Accounts · 485 to 547
      Jun 15, 2020 to Mar 31, 2021
    • Corporate clients · 5 to 6
      Jun 15, 2020 to Mar 31, 2021
    • HNW clients · 104 to 125
      Jun 15, 2020 to Mar 31, 2021
    • Individual clients · 20 to 30
      Jun 15, 2020 to Mar 31, 2021
    • Pension plan clients · 5 to 7
      Jun 15, 2020 to Mar 31, 2021
    • Assets in custody · $20.0M to $30.6M
      Jun 15, 2020 to Mar 31, 2021
    • Financial planning clients · 26-50 to 51-100
      Jun 15, 2020 to Mar 31, 2021
    • Discretionary RAUM · $373M to $611M
      Jun 15, 2020 to Mar 31, 2021
    • HNW RAUM · $582M to $845M
      Jun 15, 2020 to Mar 31, 2021
    • Individual RAUM · $9.0M to $15.0M
      Jun 15, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $248M to $280M
      Jun 15, 2020 to Mar 31, 2021
    • Pension RAUM · $12.7M to $15.6M
      Jun 15, 2020 to Mar 31, 2021
    • RAUM · $621M to $891M
      Jun 15, 2020 to Mar 31, 2021
    • Accounts · 350 to 485
      Mar 26, 2019 to Apr 30, 2020
    • Advisory employees · 1 to 2
      Mar 26, 2019 to Apr 30, 2020
    • HNW clients · 90 to 104
      Mar 26, 2019 to Apr 30, 2020
    • Individual clients · unset to 20.0
      Mar 26, 2019 to Apr 30, 2020
    • Assets in custody · unset to 20000000.0
      Mar 26, 2019 to Apr 30, 2020
    • Discretionary RAUM · $350M to $373M
      Mar 26, 2019 to Apr 30, 2020
    • HNW RAUM · $440M to $582M
      Mar 26, 2019 to Apr 30, 2020
    • Individual RAUM · unset to 9000000.0
      Mar 26, 2019 to Apr 30, 2020
    • Non-discretionary RAUM · $150M to $248M
      Mar 26, 2019 to Apr 30, 2020
    • Pension RAUM · $5.0M to $12.7M
      Mar 26, 2019 to Apr 30, 2020
    Signals
    4 dated events
    • S• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 29, 2022 · Succession (Item 4) · fact
    • S• A•••• M••••••••• reported RAUM $1.4B, up 62% from $891.0M (2021-03-31 to 2022-03-29)
      Mar 29, 2022 · RAUM change · derived
    • S• A•••• M••••••••• reported RAUM $891.0M, up 43% from $621.0M (2020-06-15 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • S• A•••• M••••••••• reported RAUM $500.0M, up 25% from $400.0M (2018-03-13 to 2019-03-26)
      Mar 26, 2019 · 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.
    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