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••••••• C•••••• M•••••••••
Latest filing Mar 10, 2026
First filing on the tape Feb 24, 2012 · 15 filings
SEC status approved since Mar 2, 2020
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$173M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$173M as of Mar 10, 2026
Feb 24, 2012$50.2M then
HNW client RAUM$153M as of Mar 10, 2026
Mar 30, 2021$93.8M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Feb 24, 20120 then
Employees (5.A)1 as of Mar 10, 2026
Mar 30, 20212 then
Private funds: no history
RAUM +8.1% over the last fiscal year+9.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $173MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $555,720derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M88%
- Individuals$20.5M12%
- Individual clients
- 55reported
- HNW clients
- 70reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 312reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• N••• | Reno, Nv | Mar 25, 2015 | 11 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
- H•••••• B••••• D•••••• · Managing Member/Chief Compliance Officercontrolsince 03/1996 · owns 50% to 75%
- H•••••• M•••• A••• · Non Participating Membercontrolsince 03/1996 · owns 50% to 75%
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 · 291 to 312Feb 7, 2025 to Mar 10, 2026
- HNW clients · 64 to 70Feb 7, 2025 to Mar 10, 2026
- Discretionary RAUM · $160M to $173MFeb 7, 2025 to Mar 10, 2026
- HNW RAUM · $140M to $153MFeb 7, 2025 to Mar 10, 2026
- Individual RAUM · $20.7M to $20.5MFeb 7, 2025 to Mar 10, 2026
- RAUM · $160M to $173MFeb 7, 2025 to Mar 10, 2026
- Financial planning clients · unset to Jan 30, 2025 to Feb 7, 2025
- Accounts · 277 to 291Mar 13, 2024 to Jan 30, 2025
- Advisory employees · 2 to 1Mar 13, 2024 to Jan 30, 2025
- HNW clients · 65 to 64Mar 13, 2024 to Jan 30, 2025
- Individual clients · 52 to 55Mar 13, 2024 to Jan 30, 2025
- Employees · 2 to 1Mar 13, 2024 to Jan 30, 2025
- State-registered IARs · 2 to 1Mar 13, 2024 to Jan 30, 2025
- Discretionary RAUM · $142M to $160MMar 13, 2024 to Jan 30, 2025
- HNW RAUM · $125M to $140MMar 13, 2024 to Jan 30, 2025
- Individual RAUM · $16.8M to $20.7MMar 13, 2024 to Jan 30, 2025
- RAUM · $142M to $160MMar 13, 2024 to Jan 30, 2025
- Accounts · 272 to 277Feb 24, 2023 to Mar 13, 2024
- HNW clients · 64 to 65Feb 24, 2023 to Mar 13, 2024
- Individual clients · 53 to 52Feb 24, 2023 to Mar 13, 2024
- Discretionary RAUM · $134M to $142MFeb 24, 2023 to Mar 13, 2024
- HNW RAUM · $117M to $125MFeb 24, 2023 to Mar 13, 2024
- Individual RAUM · $17.0M to $16.8MFeb 24, 2023 to Mar 13, 2024
- RAUM · $134M to $142MFeb 24, 2023 to Mar 13, 2024
- Accounts · 259 to 272Mar 9, 2022 to Feb 24, 2023
- HNW clients · 61 to 64Mar 9, 2022 to Feb 24, 2023
- Individual clients · 52 to 53Mar 9, 2022 to Feb 24, 2023
- Employees · 3 to 2Mar 9, 2022 to Feb 24, 2023
- Financial planning clients · 0 to unsetMar 9, 2022 to Feb 24, 2023
- Discretionary RAUM · $132M to $134MMar 9, 2022 to Feb 24, 2023
- HNW RAUM · $113M to $117MMar 9, 2022 to Feb 24, 2023
- Individual RAUM · $19.0M to $17.0MMar 9, 2022 to Feb 24, 2023
- RAUM · $132M to $134MMar 9, 2022 to Feb 24, 2023
- Accounts · 247 to 259Mar 30, 2021 to Mar 9, 2022
- Individual clients · 51 to 52Mar 30, 2021 to Mar 9, 2022
- Employees · 2 to 3Mar 30, 2021 to Mar 9, 2022
- Discretionary RAUM · $111M to $132MMar 30, 2021 to Mar 9, 2022
- HNW RAUM · $93.8M to $113MMar 30, 2021 to Mar 9, 2022
- Individual RAUM · $17.0M to $19.0MMar 30, 2021 to Mar 9, 2022
- RAUM · $111M to $132MMar 30, 2021 to Mar 9, 2022
Signals
1 dated events
- P••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jan 30, 2020 · First SEC registration · fact
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
- Website
- P•••••••CM.NETreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 775-829-8787reportedpublic record, Form ADV, Mar 10, 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
- $173Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026