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.
Former SEC-registered adviser
Perspective Financial Services LLC
Latest filing Mar 28, 2023
First filing on the tape Mar 20, 2012 · 34 filings
RAUM
$213M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$213M as of Mar 28, 2023
Mar 20, 2012$92.9M then
HNW client RAUM$168M as of Mar 28, 2023
Mar 1, 2018$95.9M then
State-registered IARs (5.B.3)6 as of Mar 28, 2023
Mar 20, 20120 then
Employees (5.A)7 as of Mar 28, 2023
Feb 12, 20137 then
Private funds: no history
RAUM -7.8% over the last fiscal year+7.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $35.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $260,934derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $31.7M, 62 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)
- 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$168M79%
- Individuals$44.6M21%
- Individual clients
- 176reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 815reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $31.7M for 62 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
Left, latest
- Michael Patrick Mccann to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- James Joseph Mailliard to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- Jacob Alexander Cavaleri to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- Patrick Buck Ming Eng to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- Michael Amado Larriva to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- Guadalupe Arambula Camargo to Thrivent Advisor Network, LLCApr 4, 2023 · RIA to affiliated broker-dealer or bank
- David Davodi to Pruco Securities, LLCJan 4, 2019 · RIA to affiliated broker-dealer or bank
- John Northmore Sturtevant to Greenberg Financial GroupMar 3, 2016 · Other
- Robert Joseph Burger to Murphy Capital Advisors, LLCMar 7, 2012 · Other
Joined, latest
- David Davodi from J.P. Morgan Securities LLCJan 4, 2018 · Other
- Robert Joseph Burger from Miller/Russell & Associates, Inc.Jul 17, 2008 · Other
- Michael Amado Larriva from Ives Asset Management IncOct 2, 2007 · Other
- John Northmore Sturtevant from Miller/Russell & Associates, Inc.Oct 2, 2007 · Other
- James Joseph Mailliard from Banc One Securities CorporationOct 27, 2006 · Other
- Patrick Buck Ming Eng from Wells Fargo AdvisorsSep 27, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Thrivent Advisor Network, LLCApr 4, 2023 · Phoenix, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Patrick Michael Mccann · Managing Member/Chief Compliance Officercontrolsince 07/2003 · 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 · 775 to 815Mar 23, 2022 to Mar 28, 2023
- Charity clients · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- Corporate clients · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- HNW clients · 72 to 82Mar 23, 2022 to Mar 28, 2023
- Individual clients · 178 to 176Mar 23, 2022 to Mar 28, 2023
- Pension plan clients · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- Pooled vehicle clients · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- Assets in custody · $34.7M to $31.7MMar 23, 2022 to Mar 28, 2023
- Insurance-licensed employees · 0 to 6Mar 23, 2022 to Mar 28, 2023
- State-registered IARs · 5 to 6Mar 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $229M to $210MMar 23, 2022 to Mar 28, 2023
- HNW RAUM · $177M to $168MMar 23, 2022 to Mar 28, 2023
- Individual RAUM · $54.2M to $44.6MMar 23, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $1.7M to $2.3MMar 23, 2022 to Mar 28, 2023
- Pension RAUM · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · 0.0 to unsetMar 23, 2022 to Mar 28, 2023
- RAUM · $231M to $213MMar 23, 2022 to Mar 28, 2023
- Accounts · 726 to 775Mar 12, 2021 to Mar 23, 2022
- Advisory employees · 5 to 6Mar 12, 2021 to Mar 23, 2022
- HNW clients · 67 to 72Mar 12, 2021 to Mar 23, 2022
- Individual clients · 170 to 178Mar 12, 2021 to Mar 23, 2022
- Assets in custody · $29.2M to $34.7MMar 12, 2021 to Mar 23, 2022
- Employees · 6 to 7Mar 12, 2021 to Mar 23, 2022
- Financial planning clients · 26-50 to 51-100Mar 12, 2021 to Mar 23, 2022
- Discretionary RAUM · $189M to $229MMar 12, 2021 to Mar 23, 2022
- HNW RAUM · $147M to $177MMar 12, 2021 to Mar 23, 2022
- Individual RAUM · $44.1M to $54.2MMar 12, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $1.5M to $1.7MMar 12, 2021 to Mar 23, 2022
- RAUM · $191M to $231MMar 12, 2021 to Mar 23, 2022
- Accounts · 710 to 726Aug 18, 2020 to Mar 12, 2021
- HNW clients · 50 to 67Aug 18, 2020 to Mar 12, 2021
- Individual clients · 181 to 170Aug 18, 2020 to Mar 12, 2021
- Assets in custody · $25.0M to $29.2MAug 18, 2020 to Mar 12, 2021
- Discretionary RAUM · $168M to $189MAug 18, 2020 to Mar 12, 2021
- HNW RAUM · $119M to $147MAug 18, 2020 to Mar 12, 2021
- Individual RAUM · $52.3M to $44.1MAug 18, 2020 to Mar 12, 2021
- Non-discretionary RAUM · $3.4M to $1.5MAug 18, 2020 to Mar 12, 2021
- RAUM · $171M to $191MAug 18, 2020 to Mar 12, 2021
- Accounts · 702 to 710Nov 5, 2019 to Mar 12, 2020
- Advisory activities · 4 to 3Nov 5, 2019 to Mar 12, 2020
Signals
7 dated events
- Michael Patrick Mccann left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-01)Apr 4, 2023 · Advisor changed firm · fact
- James Joseph Mailliard left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-01)Apr 4, 2023 · Advisor changed firm · fact
- Patrick Buck Ming Eng left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-01)Apr 4, 2023 · Advisor changed firm · fact
- Jacob Alexander Cavaleri left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-21)Apr 4, 2023 · Advisor changed firm · fact
- Michael Amado Larriva left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-21)Apr 4, 2023 · Advisor changed firm · fact
- Guadalupe Arambula Camargo left Perspective Financial Services Llc for Thrivent Advisor Network, Llc (registered 2023-03-01)Apr 4, 2023 · Advisor changed firm · fact
- Perspective Financial Services LLC's advisors moved to Thrivent Advisor Network, LLC (Phoenix, AZ): 6 of 6 registered, on the same dayApr 4, 2023 · Firm absorbed (people side) · derived
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