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SEC-registered adviser

P•••••• L••• C••••••• L••

Independent wealth managerCRD 124999SEC 801-136114websiteIAPD
Latest filing Sep 9, 2026
First filing on the tape Jun 1, 2026 · 2 filings
SEC status approved since Jun 8, 2026
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$138M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$144M as of Sep 9, 2026
Jun 1, 2026$144M then
HNW client RAUM$136M as of Sep 9, 2026
Jun 1, 2026$136M then
State-registered IARs (5.B.3)1 as of Sep 9, 2026
Jun 1, 20261 then
Employees (5.A)1 as of Sep 9, 2026
Jun 1, 20261 then
Private funds: no history
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$144MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$27.1MderivedHNW RAUM over HNW clients
Average account
$12.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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$136M94%
  • Pension and profit-sharing plans$6.2M4.3%
  • Individuals$2.2M1.5%
Individual clients
5reported
HNW clients
5reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.04 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••• D•••••••Key Biscayne, FlJul 24, 200637 y1
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• P••• · Chief Compliance Officer And Managing Membercontrol
        since 05/1999 · 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
      • Financial planning clients · 0 to 0
        Jun 1, 2026 to Sep 9, 2026
      • HQ city · to unset
        Jun 1, 2026 to Sep 9, 2026
      • HQ state · to unset
        Jun 1, 2026 to Sep 9, 2026
      • Other offices · 0 to 1
        Jun 1, 2026 to Sep 9, 2026
      • Succession · false to unset
        Jun 1, 2026 to Sep 9, 2026
      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.
      How to reach
      public business contact points only, each with its source
      Website
      P••••••L•••CAPITAL.COMreportedpublic record, Form ADV, Sep 9, 2026
      Principal office phone
      703-679-7394reportedpublic record, Form ADV, Sep 9, 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
      $144Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026