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•••••• A•••••••• I•••
Latest filing Nov 10, 2023
First filing on the tape Feb 8, 2020 · 14 filings
RAUM
$17.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$15.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$5.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$14.8M as of May 9, 2023
Mar 31, 2021$63.6M then
HNW client RAUM$9.3M as of May 9, 2023
Mar 31, 2021$10.2M then
State-registered IARs (5.B.3)2 as of May 9, 2023
Mar 31, 20212 then
Employees (5.A)3 as of May 9, 2023
Mar 31, 20213 then
Private funds: no history
RAUM -75% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Nov 10, 2023; every figure names its basis
- RAUM per advisor
- $5.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $369,017derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -78%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +100%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $17.0M, 46 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$10.4M61%
- Individuals$4.7M28%
- Pension and profit-sharing plans$1.7M10%
- Investment companies$111,3600.7%
- Individual clients
- 39reported
- HNW clients
- 5reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 46reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.0M for 46 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• J•••• P•••••••• | Lakewood Ranch, Fl | Sep 25, 2024 | 36 y | 3 |
| R•••••• M•••••• P••• | Lakewood Ranch, Fl | Dec 11, 2025 | 36 y | 1 |
| M••••• S• P••• | Lakewood Ranch, Fl | Jan 1, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- R•••••• M•••••• P••• from P••••••Dec 11, 2025 · Other
- M••• J•••• P•••••••• from P••••••Feb 24, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• R••••••• M•••••• · President, Secretary, Treasurer, Chief Compliance Officer, Chairman Bd Of Directorscontrolsince 04/2015 · owns less than 5%
- P•••• M•••••• S• · Executive Vice President, Operations, Assistant Secretarysince 06/2017 · owns less than 5%
Entity owners
- R•••••• M• P••• 2••• F••••• T•••• · Trusteeindirect · owns 75% or more of P•••• R••••••• M••••••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lakewood Ranch, Fl | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · unset to 16974804.0May 9, 2023 to Aug 2, 2023
- Custody of client assets · false to trueMay 9, 2023 to Aug 2, 2023
- Discretionary RAUM · $14.8M to $17.0MMay 9, 2023 to Aug 2, 2023
- HNW RAUM · $9.3M to $10.4MMay 9, 2023 to Aug 2, 2023
- Individual RAUM · $3.7M to $4.7MMay 9, 2023 to Aug 2, 2023
- RAUM · $14.8M to $17.0MMay 9, 2023 to Aug 2, 2023
- Accounts · 24 to 46Mar 31, 2023 to May 9, 2023
- Individual clients · 17 to 39Mar 31, 2023 to May 9, 2023
- Accounts · 58 to 24Mar 28, 2022 to Mar 31, 2023
- Pension plan clients · 2 to 1Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $21.4M to $14.8MMar 28, 2022 to Mar 31, 2023
- HNW RAUM · $15.4M to $9.3MMar 28, 2022 to Mar 31, 2023
- Individual RAUM · $4.3M to $3.7MMar 28, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $45.4M to $0Mar 28, 2022 to Mar 31, 2023
- RAUM · $66.8M to $14.8MMar 28, 2022 to Mar 31, 2023
- Accounts · 60 to 58Feb 22, 2022 to Mar 28, 2022
- Individual clients · 19 to 17Feb 22, 2022 to Mar 28, 2022
- Discretionary RAUM · $22.2M to $21.4MFeb 22, 2022 to Mar 28, 2022
- HNW RAUM · $10.2M to $15.4MFeb 22, 2022 to Mar 28, 2022
- Individual RAUM · $6.8M to $4.3MFeb 22, 2022 to Mar 28, 2022
- Non-discretionary RAUM · $41.3M to $45.4MFeb 22, 2022 to Mar 28, 2022
- Pension RAUM · $1.3M to $1.7MFeb 22, 2022 to Mar 28, 2022
- RAUM · $63.6M to $66.8MFeb 22, 2022 to Mar 28, 2022
- Accounts · 54 to 60Jun 30, 2020 to Mar 31, 2021
- HNW clients · 6 to 5Jun 30, 2020 to Mar 31, 2021
- Individual clients · 18 to 19Jun 30, 2020 to Mar 31, 2021
- Pension plan clients · unset to 2.0Jun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $21.1M to $22.2MJun 30, 2020 to Mar 31, 2021
- HNW RAUM · $10.8M to $10.2MJun 30, 2020 to Mar 31, 2021
- Individual RAUM · $5.3M to $6.8MJun 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $0 to $41.3MJun 30, 2020 to Mar 31, 2021
- Pension RAUM · $1.3M to $1.3MJun 30, 2020 to Mar 31, 2021
- RAUM · $21.1M to $63.6MJun 30, 2020 to Mar 31, 2021
Signals
1 dated events
- P•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 8, 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.
How to reach
public business contact points only, each with its source
- Website
- P••••••ADVISORSINC.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026