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

1•• P•••••••• W••••• A•••••••

Former SEC-registered adviserFairfax, VirginiaCRD 134901SEC 801-78288IAPD
Legal name 1•• P••••••••• I•••
Latest filing May 20, 2015
First filing on the tape Jun 27, 2013 · 11 filings
RAUM
$190M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$178M as of Mar 18, 2015
Mar 19, 2014$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 18, 2015
Mar 19, 20144 then
Employees (5.A)6 as of Mar 18, 2015
Mar 19, 20146 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of May 20, 2015; every figure names its basis
RAUM per advisor
$47.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$391,753derivedRAUM over accounts (5.F.2.f)
Discretionary
86%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
485reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • R•••••• M••••••• J•••• · President/Chief Executive Officercontrol
      since 01/2005 · owns less than 5%
    • T•••••• W••••••• K••• · Chief Compliance Officercontrol
      since 03/2010 · owns less than 5%
    • H•••••••• J•••••••• D•••• · Secretary And Treasurercontrol
      since 02/2009 · owns 25% to 50% of 1•• P•••••••• H•••••• C•••••••••
    • R•••••• J••••••• •••• · Chairman Of The Boardcontrol
      since 02/2009 · owns 25% to 50% of 1•• P•••••••• H•••••• C•••••••••
    • R•••••• M••••••• J•••• · President And Chief Executive Officercontrol
      since 02/2009 · owns 25% to 50% of 1•• P•••••••• H•••••• C•••••••••
    Entity owners
    • 1•• P•••••••• H•••••• C••••••••• · Owner
      direct · 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
    • Business name · 1•• P••••••••• I••• to 1•• P•••••••• W••••• A•••••••
      May 19, 2015 to May 20, 2015
    • Accounts · 461 to 485
      Mar 18, 2015 to Mar 20, 2015
    • Discretionary RAUM · $151M to $163M
      Mar 18, 2015 to Mar 20, 2015
    • RAUM · $178M to $190M
      Mar 18, 2015 to Mar 20, 2015
    • Accounts · 420 to 461
      Jan 5, 2015 to Mar 18, 2015
    • BD registered reps · 1 to 0
      Jan 5, 2015 to Mar 18, 2015
    • Discretionary RAUM · $126M to $151M
      Jan 5, 2015 to Mar 18, 2015
    • Non-discretionary RAUM · $27.0M to $27.0M
      Jan 5, 2015 to Mar 18, 2015
    • RAUM · $153M to $178M
      Jan 5, 2015 to Mar 18, 2015
    • HQ city · VIENNA to FAIRFAX
      Nov 10, 2014 to Jan 5, 2015
    • Accounts · 517 to 420
      Feb 4, 2014 to Mar 19, 2014
    • Discretionary RAUM · $118M to $126M
      Feb 4, 2014 to Mar 19, 2014
    • Non-discretionary RAUM · $28.0M to $27.0M
      Feb 4, 2014 to Mar 19, 2014
    • RAUM · $146M to $153M
      Feb 4, 2014 to Mar 19, 2014
    Signals
    1 dated events
    • 1•• P••••••••• I••• filed its initial SEC registration (Form ADV)
      Jun 27, 2013 · 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