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•••••• F•••••••• G•••• L•••
Legal name P•••••• F•••••••• G••••• L•••••
Latest filing Mar 31, 2026
First filing on the tape Jan 28, 2015 · 16 filings
SEC status approved since Feb 2, 2015
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$170M as of Mar 31, 2026
Mar 30, 2016$123M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$9.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20161 then
Employees (5.A)2 as of Mar 31, 2026
Mar 30, 20162 then
Private funds: no history
RAUM +18% over the last fiscal year+5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 603derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $282,653derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%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
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$170M100%
- Pension and profit-sharing plans$684,5030.4%
- Individual clients
- 603reported
- HNW clients
- 0reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 603reported
- Financial planning clients
- 0reported
- 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••• B•••••• P•••• | Brighton, Mi | Jan 7, 2022 | 13 y | 3 |
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
- J••• B•••••• P•••• from A•• C•••••• A•••••••Jan 7, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• A•••• T•••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- P••••• J•••• B•••••• · Presidentcontrolsince 01/2022 · owns less than 5%
- S•••••••• J••••• R••••• · Ceosince 01/2022 · owns 75% or more of A••••••••• • T•• S•••••••• I•••
Entity owners
- A••••••••• • T•• S•••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••••• • T•• S•••••••• I•••insurancen
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 Mar 31, 2026accounts (Item 5.F.2.f) moved from 1,232.0 to 603.0 (-51.0%) between the annual amendments of 2025-03-27 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 2.9% percentile
What changed
consecutive filings, newest first
- Accounts · 1,232 to 603Mar 27, 2025 to Mar 31, 2026
- Individual clients · 585 to 603Mar 27, 2025 to Mar 31, 2026
- Insurance-licensed employees · 1 to 0Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $144M to $170MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $144M to $170MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $590,225 to $684,503Mar 27, 2025 to Mar 31, 2026
- RAUM · $144M to $170MMar 27, 2025 to Mar 31, 2026
- Accounts · 1,167 to 1,232Mar 27, 2024 to Mar 27, 2025
- Individual clients · 875 to 585Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $132M to $144MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $132M to $144MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $473,939 to $590,225Mar 27, 2024 to Mar 27, 2025
- RAUM · $132M to $144MMar 27, 2024 to Mar 27, 2025
- Accounts · 1,219 to 1,167Mar 16, 2023 to Mar 27, 2024
- Individual clients · 645 to 875Mar 16, 2023 to Mar 27, 2024
- Pension plan clients · 6 to 4Mar 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $145M to $132MMar 16, 2023 to Mar 27, 2024
- Individual RAUM · $142M to $132MMar 16, 2023 to Mar 27, 2024
- Pension RAUM · $2.6M to $473,939Mar 16, 2023 to Mar 27, 2024
- RAUM · $145M to $132MMar 16, 2023 to Mar 27, 2024
- Accounts · 1,298 to 1,219Apr 26, 2022 to Mar 16, 2023
- Advisory employees · 2 to 1Apr 26, 2022 to Mar 16, 2023
- Individual clients · 668 to 645Apr 26, 2022 to Mar 16, 2023
- Pension plan clients · 5 to 6Apr 26, 2022 to Mar 16, 2023
- Employees · 3 to 2Apr 26, 2022 to Mar 16, 2023
- Insurance-licensed employees · 0 to 1Apr 26, 2022 to Mar 16, 2023
- State-registered IARs · 2 to 1Apr 26, 2022 to Mar 16, 2023
- Discretionary RAUM · $168M to $145MApr 26, 2022 to Mar 16, 2023
- Individual RAUM · $165M to $142MApr 26, 2022 to Mar 16, 2023
- Pension RAUM · $2.9M to $2.6MApr 26, 2022 to Mar 16, 2023
- RAUM · $168M to $145MApr 26, 2022 to Mar 16, 2023
- Accounts · 1,399 to 1,298Mar 24, 2021 to Mar 29, 2022
- Advisory employees · 1 to 2Mar 24, 2021 to Mar 29, 2022
- Advisory activities · 2 to 1Mar 24, 2021 to Mar 29, 2022
- Individual clients · 686 to 668Mar 24, 2021 to Mar 29, 2022
- Pension plan clients · 6 to 5Mar 24, 2021 to Mar 29, 2022
- Employees · 2 to 3Mar 24, 2021 to Mar 29, 2022
- State-registered IARs · 1 to 2Mar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $177M to $168MMar 24, 2021 to Mar 29, 2022
Signals
4 dated events
- Therese Anne Lezotte (Chief Compliance Officer) appeared on Schedule A of P•••••• F•••••••• G•••• L•••Mar 29, 2022 · Control person joined · fact
- Brenner John Pelon (President) appeared on Schedule A of P•••••• F•••••••• G•••• L•••Mar 29, 2022 · Control person joined · fact
- Allen Jobie Patrick (Chief Compliance Officer/Sole Member) no longer on Schedule A of P•••••• F•••••••• G•••• L••• (listed 2021-03-24, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- P•••••• F•••••••• G•••• L••• filed its initial SEC registration (Form ADV)Jan 28, 2015 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 810-225-9876reportedpublic record, Form ADV, Mar 31, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026