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

P•••• C••••••

Former SEC-registered adviserHouston, TexasCRD 122405SEC 801-71572IAPD
Legal name P•••• C•••••• M••••••••• I•••
Latest filing Jan 15, 2015
First filing on the tape Jan 31, 2012 · 6 filings
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$197M as of Jan 15, 2015
Jan 31, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 15, 2015
Jan 31, 20120 then
Employees (5.A)4 as of Jan 15, 2015
Jan 16, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 15, 2015; every figure names its basis
RAUM per advisor
$98.7MderivedRAUM 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
$622,912derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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
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
317reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E••••••• J••••••• W•••• · Vice President And Director Of Planningcontrol
    since 03/2009 · owns 25% to 50%
  • P••••• T•••••• L••••• · President And Chief Compliance Officercontrol
    since 07/2002 · 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.
What changed
consecutive filings, newest first
  • Accounts · 309 to 317
    Mar 17, 2014 to Jan 15, 2015
  • Discretionary RAUM · $171M to $197M
    Mar 17, 2014 to Jan 15, 2015
  • RAUM · $171M to $197M
    Mar 17, 2014 to Jan 15, 2015
  • Accounts · 300 to 309
    Jan 16, 2013 to Jan 14, 2014
  • Financial planning clients · 26-50 to 51-100
    Jan 16, 2013 to Jan 14, 2014
  • Discretionary RAUM · $134M to $171M
    Jan 16, 2013 to Jan 14, 2014
  • RAUM · $134M to $171M
    Jan 16, 2013 to Jan 14, 2014
  • Accounts · 250 to 300
    Feb 2, 2012 to Jan 16, 2013
  • Advisory employees · unset to 2.0
    Feb 2, 2012 to Jan 16, 2013
  • Employees · unset to 4.0
    Feb 2, 2012 to Jan 16, 2013
  • State-registered IARs · 0 to 2
    Feb 2, 2012 to Jan 16, 2013
  • Discretionary RAUM · $110M to $134M
    Feb 2, 2012 to Jan 16, 2013
  • RAUM · $110M to $134M
    Feb 2, 2012 to Jan 16, 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