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.
Former SEC-registered adviser
Purcell Advisory Services, LLC
Latest filing Mar 31, 2014
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$210M as of Mar 28, 2013
Mar 28, 2012$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2014
Mar 28, 20134 then
Employees (5.A)3 as of Mar 31, 2014
Mar 28, 201311 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 2
Practice profile
derived from the filing of Mar 31, 2014; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- Michael Nmi Herr to Summit Family Office Services, LLCDec 31, 2014 · Other
- Andrew David Mirkovich to Portfolio Strategies IncDec 31, 2014 · Other
- Amy Engel Anderson to B F Anderson & Co. IncNov 27, 2013 · Other
- Jeffrey Garett Pietsch to Concert Capital ManagementNov 20, 2013 · Other
- Thomas D Farrell to Sheaff Brock Investment Advisors, LLCNov 15, 2013 · Other
- Douglas Charles Bond to Virtus Investment Advisers, LLCSep 16, 2011 · Other
- Daniel Luikwong Yeung to The Caprock Group, LLCNov 29, 2010 · Other
- Stephanie Jo Shinn to Kms Financial Services, IncMar 17, 2010 · Other
Joined, latest
- Amy Engel Anderson from B F Anderson & Co. IncOct 22, 2012 · Other
- Thomas D Farrell from Curian Capital, LLCSep 7, 2012 · Other
- Douglas Charles Bond from Invesco Advisers, Inc.Jun 24, 2011 · Other
- Daniel Luikwong Yeung from Edward JonesJan 14, 2010 · Other
- Andrew David Mirkovich from Portfolio Strategies IncMay 30, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jean Sondra Purcell · Member, Principalcontrolsince 10/2000 · owns less than 5%
- Lyn Teri Weigel · Chief Compliance Officer, Principalcontrolsince 04/1998 · owns less than 5%
- Jean Sondra Purcell · Sole Shareholder, Director, Presidentcontrolsince 10/2000 · owns 50% to 75% of Sonne, Inc.
- Lyn Teri Weigel · Sole Shareholder, Director, Presidentcontrolsince 01/2009 · owns 75% or more of Tl Weigel, Inc.
Entity owners
- Sonne, Inc. · Memberdirect · owns 75% or more
- Tl Weigel, Inc. · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3759.0 to unsetApr 18, 2013 to Mar 31, 2014
- Advisory activities · 3 to 2Apr 18, 2013 to Mar 31, 2014
- Employees · 11 to 3Apr 18, 2013 to Mar 31, 2014
- State-registered IARs · 4 to 2Apr 18, 2013 to Mar 31, 2014
- Discretionary RAUM · 206069672.0 to unsetApr 18, 2013 to Mar 31, 2014
- Non-discretionary RAUM · 4071478.0 to unsetApr 18, 2013 to Mar 31, 2014
- RAUM · 210141150.0 to unsetApr 18, 2013 to Mar 31, 2014
- Accounts · 2,971 to 3,759Aug 3, 2012 to Mar 28, 2013
- Advisory employees · unset to 3.0Aug 3, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0Aug 3, 2012 to Mar 28, 2013
- Employees · unset to 11.0Aug 3, 2012 to Mar 28, 2013
- State-registered IARs · unset to 4.0Aug 3, 2012 to Mar 28, 2013
- Discretionary RAUM · $186M to $206MAug 3, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $1.4M to $4.1MAug 3, 2012 to Mar 28, 2013
- RAUM · $187M to $210MAug 3, 2012 to Mar 28, 2013
Signals
No event on the tape.
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