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••••• W••••• M••••••••• G••••

Former SEC-registered adviserSun City Center, FloridaCRD 134854SEC 801-113231websiteIAPD
Legal name A••••••• P••••••• S•••••••• I•••
Latest filing Nov 7, 2024
First filing on the tape Feb 29, 2012 · 20 filings
SEC status approved since May 17, 2018
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$236M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$236M as of Mar 6, 2024
Feb 29, 2012$50.5M then
HNW client RAUM$129M as of Mar 6, 2024
Mar 12, 2019$62.0M then
State-registered IARs (5.B.3)4 as of Mar 6, 2024
Feb 29, 20120 then
Employees (5.A)6 as of Mar 6, 2024
Mar 12, 20197 then
Private funds: no history
RAUM +16% over the last fiscal year+5.5% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Nov 7, 2024; every figure names its basis
RAUM per advisor
$58.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
79derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$381,250derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$165M, 257 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$129M55%
  • Individuals$107M45%
Individual clients
247reported
HNW clients
67reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
618reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$165M for 257 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••••• M•••••• J•• · Chief Compliance Officercontrol
      since 04/2020 · owns less than 5%
    • P•••••• R•••• · Presidentcontrol
      since 09/1983 · owns less than 5%
    • P•••••• T•••••• A••••• · Ceocontrol
      since 09/1979 · owns 75% or more
    Related persons
    Schedule D 7.A
    • P••••• I•••••••• S••••••••• L••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Sun City Center Plaza, Fl000
    Sun City Center, Fl · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Sarasota, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 574 to 618
      Nov 13, 2023 to Mar 6, 2024
    • HNW clients · 56 to 67
      Nov 13, 2023 to Mar 6, 2024
    • Individual clients · 250 to 247
      Nov 13, 2023 to Mar 6, 2024
    • Assets in custody · $161M to $165M
      Nov 13, 2023 to Mar 6, 2024
    • State-registered IARs · 5 to 4
      Nov 13, 2023 to Mar 6, 2024
    • Discretionary RAUM · $203M to $236M
      Nov 13, 2023 to Mar 6, 2024
    • HNW RAUM · $112M to $129M
      Nov 13, 2023 to Mar 6, 2024
    • Individual RAUM · $91.0M to $107M
      Nov 13, 2023 to Mar 6, 2024
    • RAUM · $203M to $236M
      Nov 13, 2023 to Mar 6, 2024
    • Accounts · 526 to 574
      Mar 11, 2022 to Feb 16, 2023
    • HNW clients · 67 to 56
      Mar 11, 2022 to Feb 16, 2023
    • Individual clients · 229 to 250
      Mar 11, 2022 to Feb 16, 2023
    • Pension plan clients · 1.0 to unset
      Mar 11, 2022 to Feb 16, 2023
    • Assets in custody · $109M to $161M
      Mar 11, 2022 to Feb 16, 2023
    • Discretionary RAUM · $232M to $203M
      Mar 11, 2022 to Feb 16, 2023
    • HNW RAUM · $139M to $112M
      Mar 11, 2022 to Feb 16, 2023
    • Individual RAUM · $87.9M to $91.0M
      Mar 11, 2022 to Feb 16, 2023
    • Non-discretionary RAUM · $20,189 to $0
      Mar 11, 2022 to Feb 16, 2023
    • Pension RAUM · 4326957.0 to unset
      Mar 11, 2022 to Feb 16, 2023
    • RAUM · $232M to $203M
      Mar 11, 2022 to Feb 16, 2023
    • Related insurance company · true to false
      Mar 11, 2022 to Feb 16, 2023
    • Accounts · 493 to 526
      Mar 31, 2021 to Mar 11, 2022
    • BD registered reps · 4 to 5
      Mar 31, 2021 to Mar 11, 2022
    • HNW clients · 55 to 67
      Mar 31, 2021 to Mar 11, 2022
    • Individual clients · 222 to 229
      Mar 31, 2021 to Mar 11, 2022
    • Pension plan clients · unset to 1.0
      Mar 31, 2021 to Mar 11, 2022
    • Assets in custody · $88.4M to $109M
      Mar 31, 2021 to Mar 11, 2022
    • Discretionary RAUM · $201M to $232M
      Mar 31, 2021 to Mar 11, 2022
    • HNW RAUM · $114M to $139M
      Mar 31, 2021 to Mar 11, 2022
    • Individual RAUM · $83.1M to $87.9M
      Mar 31, 2021 to Mar 11, 2022
    • Non-discretionary RAUM · $18,503 to $20,189
      Mar 31, 2021 to Mar 11, 2022
    • Pension RAUM · $3.9M to $4.3M
      Mar 31, 2021 to Mar 11, 2022
    • RAUM · $201M to $232M
      Mar 31, 2021 to Mar 11, 2022
    • Accounts · 450 to 493
      Nov 23, 2020 to Mar 31, 2021
    • Advisory employees · 4 to 5
      Nov 23, 2020 to Mar 31, 2021
    • Advisory activities · 3 to 2
      Nov 23, 2020 to Mar 31, 2021
    • BD registered reps · 5 to 4
      Nov 23, 2020 to Mar 31, 2021
    • HNW clients · 45 to 55
      Nov 23, 2020 to Mar 31, 2021
    • Individual clients · 212 to 222
      Nov 23, 2020 to Mar 31, 2021
    • Assets in custody · $76.0M to $88.4M
      Nov 23, 2020 to Mar 31, 2021
    Signals
    12 dated events
    • P••••• W••••• M••••••••• G•••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $235.6M)
      Feb 3, 2025 · Left the SEC roster · derived
    • J••••••• D•••• W•••••• left P••••• W••••• M••••••••• G•••• for O•••• W•••••• I••• (registered 2025-01-02)
      Jan 6, 2025 · Advisor changed firm · fact
    • G•••• K••••••• left P••••• W••••• M••••••••• G•••• for O•••• W•••••• I••• (registered 2025-01-02)
      Jan 6, 2025 · Advisor changed firm · fact
    • M••••• J•• M••••••• left P••••• W••••• M••••••••• G•••• for O•••• W•••••• I••• (registered 2025-01-02)
      Jan 6, 2025 · Advisor changed firm · fact
    • T••••• A••••• P••••• left P••••• W••••• M••••••••• G•••• for O•••• W•••••• I••• (registered 2025-01-02)
      Jan 6, 2025 · Advisor changed firm · fact
    • P••••• W••••• M••••••••• G••••'s advisors moved to O•••• W•••••• I••• (Sun City Center, FL): 4 of 4 registered, on the same day
      Jan 6, 2025 · Firm absorbed (people side) · derived
    • P•••• J••••• F••••• left P••••• W••••• M••••••••• G•••• for O•••• W•••••• I••• (registered 2025-01-02)
      Feb 14, 2024 · Advisor changed firm · fact
    • G•••• K••••••• left P••••• W••••• M••••••••• G•••• for S•••••••• F••••••••• I••• (registered 2012-11-08)
      Jun 30, 2023 · Advisor changed firm · fact
    • R•••• P••••• (President) appeared on Schedule A of P••••• W••••• M••••••••• G••••
      Mar 31, 2021 · Control person joined · fact
    • G•••• K••••••• (Chief Compliance Officer) no longer on Schedule A of P••••• W••••• M••••••••• G•••• (listed 2020-02-26, absent 2020-05-27)
      May 27, 2020 · Control person left · inference
    • Jay Martin Mulligan (Chief Compliance Officer) appeared on Schedule A of P••••• W••••• M••••••••• G••••
      May 27, 2020 · Control person joined · fact
    • P••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
      Apr 16, 2018 · 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