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

Pgr Solutions, LLC

Former SEC-registered adviserSan Jose, CaliforniaCRD 119490SEC 801-62632IAPD
Latest filing Mar 14, 2019
First filing on the tape Mar 9, 2012 · 18 filings
RAUM
$676M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
39%
$261M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$676M as of Mar 14, 2019
Mar 9, 2012$308M then
HNW client RAUM$161M as of Mar 14, 2019
Mar 27, 2018$169M then
State-registered IARs (5.B.3)12 as of Mar 14, 2019
Mar 28, 201310 then
Employees (5.A)18 as of Mar 14, 2019
Mar 28, 201317 then
Private funds: no history
RAUM -8.8% over the last fiscal year+8.2% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 14, 2019; every figure names its basis
RAUM per advisor
$56.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
40derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$674,171derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.6%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$219M, 250 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$247M37%
  • Pension and profit-sharing plans$166M25%
  • High-net-worth individuals$161M24%
  • Individuals$100M15%
  • Corporations and businesses$1.7M0.2%
Individual clients
408reported
HNW clients
73reported
Pension plan clients
72reported
Charitable clients
0reported
Accounts
1,003reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$219M for 250 clientsreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Charles Daniel Gutierrez · LLC Membercontrol
      since 07/2002 · owns 10% to 25%
    • Richard Jacob Parsons · Ceo & LLC Membercontrol
      since 01/2013 · owns 10% to 25%
    • William John Pihl · LLC Membercontrol
      since 02/2002 · owns 10% to 25%
    • Elvyn David Roberts · LLC Membercontrol
      since 07/2002 · owns 10% to 25%
    • L. Kelly Roemers · Chief Compliance Officer, LLC Membercontrol
      since 09/2002 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • Gregory Allen Peterson
      insurancen
    • Michael L. Roberts
      investment companyy
    Offices
    Schedule D 1.F, the 25 largest
    • El Dorado Hills, CA3 employees
    What changed
    consecutive filings, newest first
    • Accounts · 925 to 1,003
      May 18, 2018 to Mar 14, 2019
    • HNW clients · 72 to 73
      May 18, 2018 to Mar 14, 2019
    • Individual clients · 367 to 408
      May 18, 2018 to Mar 14, 2019
    • Pension plan clients · 95 to 72
      May 18, 2018 to Mar 14, 2019
    • Discretionary RAUM · $739M to $675M
      May 18, 2018 to Mar 14, 2019
    • HNW RAUM · $169M to $161M
      May 18, 2018 to Mar 14, 2019
    • Individual RAUM · $100.0M to $100M
      May 18, 2018 to Mar 14, 2019
    • Non-discretionary RAUM · $2.9M to $1.1M
      May 18, 2018 to Mar 14, 2019
    • Pension RAUM · $206M to $166M
      May 18, 2018 to Mar 14, 2019
    • RAUM · $742M to $676M
      May 18, 2018 to Mar 14, 2019
    • HQ city · CAMPBELL to SAN JOSE
      May 4, 2018 to May 18, 2018
    • Advisory employees · 11 to 12
      Dec 15, 2017 to Mar 27, 2018
    • Accounts · 853 to 925
      Dec 15, 2017 to Mar 27, 2018
    • HNW clients · 59 to 72
      Dec 15, 2017 to Mar 27, 2018
    • Individual clients · 341 to 367
      Dec 15, 2017 to Mar 27, 2018
    • Pension plan clients · 53 to 95
      Dec 15, 2017 to Mar 27, 2018
    • Assets in custody · unset to 218709411.0
      Dec 15, 2017 to Mar 27, 2018
    • Custody of client assets · false to true
      Dec 15, 2017 to Mar 27, 2018
    • Employees · 16 to 18
      Dec 15, 2017 to Mar 27, 2018
    • State-registered IARs · 11 to 12
      Dec 15, 2017 to Mar 27, 2018
    • Discretionary RAUM · $681M to $739M
      Dec 15, 2017 to Mar 27, 2018
    • HNW RAUM · $128M to $169M
      Dec 15, 2017 to Mar 27, 2018
    • Individual RAUM · $123M to $100.0M
      Dec 15, 2017 to Mar 27, 2018
    • Non-discretionary RAUM · $3.4M to $2.9M
      Dec 15, 2017 to Mar 27, 2018
    • Pension RAUM · $153M to $206M
      Dec 15, 2017 to Mar 27, 2018
    • RAUM · $684M to $742M
      Dec 15, 2017 to Mar 27, 2018
    • Discretionary RAUM · $3.4M to $681M
      Dec 14, 2017 to Dec 15, 2017
    • Non-discretionary RAUM · $681M to $3.4M
      Dec 14, 2017 to Dec 15, 2017
    • Accounts · 868 to 853
      Sep 14, 2017 to Dec 14, 2017
    • Charity clients · unset to 0.0
      Sep 14, 2017 to Dec 14, 2017
    • HNW clients · unset to 59.0
      Sep 14, 2017 to Dec 14, 2017
    • Individual clients · unset to 341.0
      Sep 14, 2017 to Dec 14, 2017
    • Pension plan clients · unset to 53.0
      Sep 14, 2017 to Dec 14, 2017
    • Pooled vehicle clients · unset to 0.0
      Sep 14, 2017 to Dec 14, 2017
    • Other offices · unset to 1.0
      Sep 14, 2017 to Dec 14, 2017
    • Discretionary RAUM · $296M to $3.4M
      Sep 14, 2017 to Dec 14, 2017
    • HNW RAUM · unset to 127563944.0
      Sep 14, 2017 to Dec 14, 2017
    • Individual RAUM · unset to 123268139.0
      Sep 14, 2017 to Dec 14, 2017
    • Non-discretionary RAUM · $248M to $681M
      Sep 14, 2017 to Dec 14, 2017
    • Pension RAUM · unset to 153069098.0
      Sep 14, 2017 to Dec 14, 2017
    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