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••• A•••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Sep 10, 2001
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$106M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$115M as of Mar 27, 2026
Mar 30, 2012$418M then
HNW client RAUM$106M as of Mar 27, 2026
Mar 30, 2018$137M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 28, 20130 then
Employees (5.A)3 as of Mar 27, 2026
Feb 28, 20136 then
Private funds4 as of Mar 1, 2021
Mar 30, 20122 then
RAUM +2.0% over the last fiscal year+2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.0%derivedbetween 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, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M93%
- Charitable organizations$8.5M7.4%
- Individual clients
- n/areported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 59reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
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
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• I••••••••• I• L••no longer reported | Hedge Fund | $77.4M | 80 | Mar 30, 2012 |
| P••• I••••••••• L••no longer reported | Hedge Fund | $35.7M | 95 | Mar 30, 2012 |
| S••••••• A••••••• M•••••••• L••no longer reported | Private Equity Fund | $584,569 | 50 | Mar 26, 2014 |
| C•••• A•••• H••••••• A••••••••• L••no longer reported | Private Equity Fund | $0 | 91 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- W••••• W••••••• P••• · Chief Executive Officercontrolsince 08/2001 · owns 5% to 10%
- H•••• A•••••• G•• · Corporate Secretarysince 01/2004 · owns less than 5%
- M••••••••• C••••• S•••• · Chief Compliance Officersince 07/2008 · owns less than 5%
Entity owners
- W•••• I••••••••• L• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 27, 2026peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 27, 2026private-client share of RAUM moved from 77.0% to 93.0% between the annual amendments of 2025-02-21 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 77.0% to 93.0% between the annual amendments of 2025-02-21 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 23.0% to 7.0% between the annual amendments of 2025-02-21 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Discretionary RAUM · $112M to $115MFeb 21, 2025 to Mar 27, 2026
- HNW RAUM · $86.8M to $106MFeb 21, 2025 to Mar 27, 2026
- RAUM · $112M to $115MFeb 21, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Jan 31, 2024 to Feb 21, 2025
- Discretionary RAUM · $112M to $112MJan 31, 2024 to Feb 21, 2025
- HNW RAUM · $85.2M to $86.8MJan 31, 2024 to Feb 21, 2025
- RAUM · $112M to $112MJan 31, 2024 to Feb 21, 2025
- Accounts · 57 to 59Jan 31, 2023 to Jan 31, 2024
- HNW clients · 55 to 57Jan 31, 2023 to Jan 31, 2024
- Discretionary RAUM · $107M to $112MJan 31, 2023 to Jan 31, 2024
- HNW RAUM · $80.6M to $85.2MJan 31, 2023 to Jan 31, 2024
- RAUM · $107M to $112MJan 31, 2023 to Jan 31, 2024
- Accounts · 59 to 57Mar 14, 2022 to Jan 31, 2023
- HNW clients · 57 to 55Mar 14, 2022 to Jan 31, 2023
- Discretionary RAUM · $128M to $107MMar 14, 2022 to Jan 31, 2023
- HNW RAUM · $92.6M to $80.6MMar 14, 2022 to Jan 31, 2023
- RAUM · $128M to $107MMar 14, 2022 to Jan 31, 2023
- Accounts · 62 to 59Nov 4, 2021 to Mar 14, 2022
- Charity clients · 3 to 2Nov 4, 2021 to Mar 14, 2022
- HNW clients · 59 to 57Nov 4, 2021 to Mar 14, 2022
- Discretionary RAUM · $122M to $128MNov 4, 2021 to Mar 14, 2022
- HNW RAUM · $92.4M to $92.6MNov 4, 2021 to Mar 14, 2022
- RAUM · $122M to $128MNov 4, 2021 to Mar 14, 2022
- Accounts · 66 to 62Mar 1, 2021 to Nov 4, 2021
- Pooled vehicle clients · 4.0 to unsetMar 1, 2021 to Nov 4, 2021
- Assets in custody · 59221056.0 to unsetMar 1, 2021 to Nov 4, 2021
- Custody of client assets · true to falseMar 1, 2021 to Nov 4, 2021
- Private funds · 4 to unsetMar 1, 2021 to Nov 4, 2021
- Non-discretionary RAUM · $59.2M to $0Mar 1, 2021 to Nov 4, 2021
- Pooled vehicle RAUM · 59221056.0 to unsetMar 1, 2021 to Nov 4, 2021
- RAUM · $181M to $122MMar 1, 2021 to Nov 4, 2021
- Accounts · 88 to 66Jun 3, 2020 to Mar 1, 2021
- Advisory employees · 5 to 3Jun 3, 2020 to Mar 1, 2021
- HNW clients · 81 to 59Jun 3, 2020 to Mar 1, 2021
- Assets in custody · $114M to $59.2MJun 3, 2020 to Mar 1, 2021
- Employees · 5 to 3Jun 3, 2020 to Mar 1, 2021
- Discretionary RAUM · $162M to $122MJun 3, 2020 to Mar 1, 2021
- HNW RAUM · $127M to $92.4MJun 3, 2020 to Mar 1, 2021
- Non-discretionary RAUM · $114M to $59.2MJun 3, 2020 to Mar 1, 2021
- Pooled vehicle RAUM · $114M to $59.2MJun 3, 2020 to Mar 1, 2021
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P••• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 901-763-4001reportedpublic record, Form ADV, Mar 27, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026