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P•••••• F•••••••• P•••••••• L•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $150M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$150M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+14%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $150M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 123035 · SEC 801-126129 · 9 filingsShow
CRD 123035SEC 801-126129First filing on the tape Jun 20, 2022, latest Jan 6, 2026SEC status approved since Jul 21, 2022IAPD
RAUM
$150M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$150M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$150M
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
9 filings and snapshots on the tape
RAUM$150M as of Jan 6, 2026
Jan 17, 2023$100M then
HNW client RAUM$118M as of Jan 6, 2026
Jan 17, 2023$51.2M then
State-registered IARs (5.B.3)1 as of Jan 6, 2026
Jan 17, 20231 then
Employees (5.A)1 as of Jan 6, 2026
Jan 17, 20231 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 6, 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
$150MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
129derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM 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
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.4%derived
Compensation
percentage of assets, fixed feesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$118M79%
  • Individuals$31.7M21%
Individual clients
68reported
HNW clients
61reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
129reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
NameBranchHere sinceIn industryPrior firms
P••••• L•• F•••••••Apopka, FlJan 29, 201626 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• P•••••• L•• · Chief Compliance Officer And Managing Membercontrol
    since 07/2000 · 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
1 against comparable advisers; where to look, not conclusions
  • account count collapseChange between filings · filing Jan 6, 2026
    accounts (Item 5.F.2.f) moved from 392.0 to 129.0 (-67.0%) between the annual amendments of 2025-01-02 and 2026-01-06; the peer median change was +5.0% (3683 comparable advisers, 1.0th percentile of changes)
    peers: independent wealth managers, $100M to $500M (3,683) · 1.3% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 392 to 129
    Jan 2, 2025 to Jan 6, 2026
  • HNW clients · 53 to 61
    Jan 2, 2025 to Jan 6, 2026
  • Individual clients · 82 to 68
    Jan 2, 2025 to Jan 6, 2026
  • Discretionary RAUM · $131M to $150M
    Jan 2, 2025 to Jan 6, 2026
  • HNW RAUM · $94.2M to $118M
    Jan 2, 2025 to Jan 6, 2026
  • Individual RAUM · $36.5M to $31.7M
    Jan 2, 2025 to Jan 6, 2026
  • RAUM · $131M to $150M
    Jan 2, 2025 to Jan 6, 2026
  • HNW clients · 41 to 53
    Jan 4, 2024 to Jan 2, 2025
  • Individual clients · 99 to 82
    Jan 4, 2024 to Jan 2, 2025
  • Financial planning clients · unset to
    Jan 4, 2024 to Jan 2, 2025
  • HQ city · unset to
    Jan 4, 2024 to Jan 2, 2025
  • HQ state · unset to
    Jan 4, 2024 to Jan 2, 2025
  • Discretionary RAUM · $111M to $131M
    Jan 4, 2024 to Jan 2, 2025
  • HNW RAUM · $68.9M to $94.2M
    Jan 4, 2024 to Jan 2, 2025
  • Individual RAUM · $42.4M to $36.5M
    Jan 4, 2024 to Jan 2, 2025
  • RAUM · $111M to $131M
    Jan 4, 2024 to Jan 2, 2025
  • Accounts · 383 to 392
    Jan 17, 2023 to Jan 4, 2024
  • HNW clients · 30 to 41
    Jan 17, 2023 to Jan 4, 2024
  • Individual clients · 111 to 99
    Jan 17, 2023 to Jan 4, 2024
  • Discretionary RAUM · $100M to $111M
    Jan 17, 2023 to Jan 4, 2024
  • HNW RAUM · $51.2M to $68.9M
    Jan 17, 2023 to Jan 4, 2024
  • Individual RAUM · $48.8M to $42.4M
    Jan 17, 2023 to Jan 4, 2024
  • RAUM · $100M to $111M
    Jan 17, 2023 to Jan 4, 2024
  • Accounts · 430 to 383
    Oct 18, 2022 to Jan 17, 2023
  • HNW clients · 33 to 30
    Oct 18, 2022 to Jan 17, 2023
  • Individual clients · 115 to 111
    Oct 18, 2022 to Jan 17, 2023
  • Discretionary RAUM · $102M to $100M
    Oct 18, 2022 to Jan 17, 2023
  • HNW RAUM · $54.3M to $51.2M
    Oct 18, 2022 to Jan 17, 2023
  • Individual RAUM · $48.0M to $48.8M
    Oct 18, 2022 to Jan 17, 2023
  • RAUM · $102M to $100M
    Oct 18, 2022 to Jan 17, 2023
  • Succession · true to false
    Oct 18, 2022 to Jan 17, 2023
  • Succession · false to true
    Oct 13, 2022 to Oct 18, 2022
Signals
2 dated events
  • ••• Locked
    Oct 18, 2022 · Succession (Item 4) · fact
  • ••• Locked
    Jun 20, 2022 · 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
Business phone
••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website
••• Lockedreportedpublic record, Form ADV, Jan 6, 2026
Principal office phone
••• Lockedreportedpublic record, Form ADV, Jan 6, 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
$150Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026