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•••••••• A•••••••
Legal name P•••••• F•••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 17, 2012 · 34 filings
SEC status approved since Apr 13, 2015
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$256M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$256M as of Mar 27, 2026
Mar 12, 2012$36.4M then
HNW client RAUM$196M as of Mar 27, 2026
Mar 16, 2018$74.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Feb 18, 20163 then
Employees (5.A)4 as of Mar 27, 2026
Feb 18, 20166 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Mar 27, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $256MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 319derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $360,380derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- -10%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $248MreportedItem 5.I
- Custody
- $135M, 188 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$196M77%
- Individuals$59.4M23%
- Pension and profit-sharing plans$676,7680.3%
- Individual clients
- 203reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 710reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $135M for 188 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• M•••••• I••••••Certified Financial Planner | Santa Maria, Ca | Aug 5, 2016 | 13 y | 1 |
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
- I•••• D••• to I••••••••• F•••••••• G••••• L••Jan 11, 2022 · RIA to affiliated broker-dealer or bank
- S•••• J• H••• to I••••••••• F•••••••• G••••• L••May 18, 2021 · RIA to affiliated broker-dealer or bank
- M•••••• A••• E••••• to M••••••••• I••••••••• A•• R••••••••• A•••••••• L••Sep 15, 2017 · Other
Joined, latest
- E•••• M•••••• I•••••• from G•••• A•••• M••••••••• I••Aug 5, 2016 · Other
- M•••••• A••• E••••• from J••• E••••• I••••••••• M••••••••• L••Jul 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••• E••••• M•••••• · Presidentcontrolsince 01/2024 · owns less than 5%
- M•••••• K•••••• L•••• · Chief Compliance Officer/Executive Vp- Client Operationscontrolsince 05/2021 · owns less than 5%
- I••••••• E••••• M•••••• · Ownercontrolsince 01/2024 · owns 75% or more of O•••••••• C••••••••• L••
- G•••• B•••• · Ownersince 01/2024 · owns F of O•••••••• C••••••••• L••
Entity owners
- O•••••••• C••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 711 to 710Mar 24, 2025 to Mar 27, 2026
- BD registered reps · 3 to 2Mar 24, 2025 to Mar 27, 2026
- Business name · P•••••• F•••••••• A•••••••• L•• to P•••••••• F•••••••• A•••••••Mar 24, 2025 to Mar 27, 2026
- HNW clients · 95 to 116Mar 24, 2025 to Mar 27, 2026
- Individual clients · 260 to 203Mar 24, 2025 to Mar 27, 2026
- Assets in custody · $135M to $135MMar 24, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $222M to $256MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $159M to $196MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $62.0M to $59.4MMar 24, 2025 to Mar 27, 2026
- Pension RAUM · $524,754 to $676,768Mar 24, 2025 to Mar 27, 2026
- RAUM · $222M to $256MMar 24, 2025 to Mar 27, 2026
- Accounts · 642 to 711Oct 11, 2024 to Mar 24, 2025
- Advisory employees · 4 to 3Oct 11, 2024 to Mar 24, 2025
- BD registered reps · 4 to 3Oct 11, 2024 to Mar 24, 2025
- HNW clients · 66 to 95Oct 11, 2024 to Mar 24, 2025
- Individual clients · 135 to 260Oct 11, 2024 to Mar 24, 2025
- Assets in custody · $35.0M to $135MOct 11, 2024 to Mar 24, 2025
- Employees · 5 to 4Oct 11, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Oct 11, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 1Oct 11, 2024 to Mar 24, 2025
- Other offices · 1 to 0Oct 11, 2024 to Mar 24, 2025
- Discretionary RAUM · $175M to $222MOct 11, 2024 to Mar 24, 2025
- HNW RAUM · $130M to $159MOct 11, 2024 to Mar 24, 2025
- Individual RAUM · $44.3M to $62.0MOct 11, 2024 to Mar 24, 2025
- Pension RAUM · $547,908 to $524,754Oct 11, 2024 to Mar 24, 2025
- RAUM · $175M to $222MOct 11, 2024 to Mar 24, 2025
- Accounts · 695 to 642Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 27, 2024
- BD registered reps · 3 to 4Mar 31, 2023 to Mar 27, 2024
- HNW clients · 70 to 66Mar 31, 2023 to Mar 27, 2024
- Individual clients · 268 to 135Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $51.2M to $35.0MMar 31, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 1Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $163M to $175MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $103M to $130MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $59.3M to $44.3MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $847,635 to $547,908Mar 31, 2023 to Mar 27, 2024
- RAUM · $163M to $175MMar 31, 2023 to Mar 27, 2024
- Accounts · 800 to 695Jul 15, 2022 to Mar 31, 2023
Signals
6 dated events
- Shimshon Plotkin (Owner/President) no longer on Schedule A of P•••••••• F•••••••• A••••••• (listed 2023-03-31, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Michael Erich Imphong (President) appeared on Schedule A of P•••••••• F•••••••• A•••••••Mar 27, 2024 · Control person joined · fact
- I•••• D••• left P•••••••• F•••••••• A••••••• for I••••••••• F•••••••• G••••• L•• (registered 2025-01-20)Jan 11, 2022 · Advisor changed firm · fact
- Josephine S•••• H••• (Chief Compliance Officer) no longer on Schedule A of P•••••••• F•••••••• A••••••• (listed 2021-03-29, absent 2022-01-11)Jan 11, 2022 · Control person left · inference
- Leigh Kristi Murphy (Chief Compliance Officer) appeared on Schedule A of P•••••••• F•••••••• A•••••••Jan 11, 2022 · Control person joined · fact
- P•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 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
- Business phone
- 301-907-9790reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-907-9793reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1531373reportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.p•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 301-907-9790reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- p•••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $256Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026