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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P•• A••••••• S•••••••• I•••

Former SEC-registered adviserRoswell, GeorgiaCRD 125930SEC 801-66525IAPD
Latest filing Mar 22, 2013
First filing on the tape Mar 31, 2012 · 5 filings
RAUM
$174M
reported, Item 5.F
Discretionary
53%
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$174M as of Feb 19, 2013
Mar 31, 2012$169M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 19, 2013
Mar 31, 20120 then
Employees (5.A): 7
Private funds: no history
RAUM +2.7% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 22, 2013; every figure names its basis
RAUM per advisor
$43.4MderivedRAUM 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
$449,899derivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
  • controlled by a public reporting company (10.A)
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
386reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
  • D••••• D•••••• M••• · Ceo, Cfo, Cco Managing Principalcontrol
    since 04/1992 · owns less than 5%
  • M•••••• G•••••• W••• · Chairmancontrol
    since 04/1985 · owns less than 5%
  • M•••••• G•••••• W••• · Chairmancontrol
    since 04/1985 · owns 25% to 50% of P•• A••••••• S•••••••• I•••
Entity owners
  • C•••••••• C••••••••• I••• · Owner
    direct · 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 · 169 to 386
    Mar 31, 2012 to Feb 19, 2013
  • Advisory employees · unset to 4.0
    Mar 31, 2012 to Feb 19, 2013
  • BD registered reps · unset to 7.0
    Mar 31, 2012 to Feb 19, 2013
  • Employees · unset to 7.0
    Mar 31, 2012 to Feb 19, 2013
  • State-registered IARs · 0 to 4
    Mar 31, 2012 to Feb 19, 2013
  • Discretionary RAUM · $85.5M to $91.3M
    Mar 31, 2012 to Feb 19, 2013
  • Non-discretionary RAUM · $83.6M to $82.4M
    Mar 31, 2012 to Feb 19, 2013
  • RAUM · $169M to $174M
    Mar 31, 2012 to Feb 19, 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