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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Former SEC-registered adviser
P••••••• F•••••••• P•••••••••
Latest filing Aug 7, 2020
First filing on the tape Feb 9, 2012 · 5 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$94.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$126M as of Aug 7, 2020
Feb 9, 2012$55.1M then
HNW client RAUM: $74.4M
State-registered IARs (5.B.3)2 as of Aug 7, 2020
Feb 9, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 7, 2020; every figure names its basis
- RAUM per advisor
- $63.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $361,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$74.4M59%
- Pension and profit-sharing plans$20.7M16%
- Individuals$20.1M16%
- Charitable organizations$7.8M6.2%
- State and municipal entities$3.4M2.7%
- Individual clients
- 167reported
- HNW clients
- 54reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 350reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- B•••• S••••• D••••••• to A••••••• F••••••••• L•••Dec 31, 2020 · RIA to RIA
- B•••• M•••••• M••••• to M•• A••••••• F•••••••• M••••••••• I•••Dec 31, 2020 · Other
- A••••• J••• T•••••• to E••••• S••••••••• I•••Nov 30, 2011 · Other
- P•••••• J••• Z••••••• to W••••••••• F•••••••• P•••••••Oct 20, 2011 · Other
- D•••••• M•••• K•••••••• to M•• A••••••• F•••••••• M••••••••• I•••Oct 20, 2011 · Other
- S•••• W•••••• S•••••• to A••••• P•••••••• M••••••••• I•••Jul 9, 2008 · Other
- K••• J• V•• O••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 4, 2003 · Other
Joined, latest
- D•••••• M•••• K•••••••• from F•• A•••••••• I•••Sep 16, 2003 · Other
- B•••• M•••••• M••••• from F•• A•••••••• I•••Sep 16, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B••••• M•••••• · Chief Compliance Officer, Ownercontrolsince 06/1998 · 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 · 95 to 350Mar 23, 2012 to Aug 7, 2020
- Advisory employees · unset to 2.0Mar 23, 2012 to Aug 7, 2020
- Advisory activities · 3 to 4Mar 23, 2012 to Aug 7, 2020
- BD registered reps · unset to 0.0Mar 23, 2012 to Aug 7, 2020
- Charity clients · unset to 2.0Mar 23, 2012 to Aug 7, 2020
- Corporate clients · unset to 0.0Mar 23, 2012 to Aug 7, 2020
- HNW clients · unset to 54.0Mar 23, 2012 to Aug 7, 2020
- Individual clients · unset to 167.0Mar 23, 2012 to Aug 7, 2020
- Pension plan clients · unset to 12.0Mar 23, 2012 to Aug 7, 2020
- Pooled vehicle clients · unset to 0.0Mar 23, 2012 to Aug 7, 2020
- Employees · unset to 6.0Mar 23, 2012 to Aug 7, 2020
- Insurance-licensed employees · 1 to 0Mar 23, 2012 to Aug 7, 2020
- Financial planning clients · 26-50 to 1-10Mar 23, 2012 to Aug 7, 2020
- State-registered IARs · 0 to 2Mar 23, 2012 to Aug 7, 2020
- Other offices · unset to 0.0Mar 23, 2012 to Aug 7, 2020
- Discretionary RAUM · $48.4M to $126MMar 23, 2012 to Aug 7, 2020
- HNW RAUM · unset to 74393954.0Mar 23, 2012 to Aug 7, 2020
- Individual RAUM · unset to 20098205.0Mar 23, 2012 to Aug 7, 2020
- Non-discretionary RAUM · $7.0M to $0Mar 23, 2012 to Aug 7, 2020
- Pension RAUM · unset to 20721611.0Mar 23, 2012 to Aug 7, 2020
- Pooled vehicle RAUM · unset to 0.0Mar 23, 2012 to Aug 7, 2020
- RAUM · $55.4M to $126MMar 23, 2012 to Aug 7, 2020
- Discretionary RAUM · $6.3M to $48.4MMar 15, 2012 to Mar 23, 2012
- Non-discretionary RAUM · $48.8M to $7.0MMar 15, 2012 to Mar 23, 2012
- RAUM · $55.0M to $55.4MMar 15, 2012 to Mar 23, 2012
- Accounts · 101 to 95Feb 9, 2012 to Mar 9, 2012
- Discretionary RAUM · $47.1M to $6.3MFeb 9, 2012 to Mar 9, 2012
- Non-discretionary RAUM · $8.0M to $48.8MFeb 9, 2012 to Mar 9, 2012
- RAUM · $55.1M to $55.0MFeb 9, 2012 to Mar 9, 2012
Signals
1 dated events
- P••••••• F•••••••• P••••••••• filed its initial SEC registration (Form ADV)Aug 7, 2020 · 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.
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