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••••••• W••••• A•••••••• I•••
Latest filing Dec 11, 2025
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Feb 13, 2020
RAUM
$176M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$174M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$176M as of Dec 11, 2025
Mar 28, 2012$56.7M then
HNW client RAUM$171M as of Dec 11, 2025
Feb 20, 2020$130M then
State-registered IARs (5.B.3)1 as of Dec 11, 2025
Feb 20, 20201 then
Employees (5.A)2 as of Dec 11, 2025
Feb 20, 20205 then
Private funds: no history
RAUM +9.3% over the last fiscal year-1.7% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Dec 11, 2025; every figure names its basis
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $846,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $70.1M, 38 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M97%
- Individuals$3.1M1.8%
- Pension and profit-sharing plans$1.8M1.0%
- Individual clients
- 5reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 208reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.1M for 38 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- R••••• P••••••••• to F•••••••• M••••••••• N•••••• I••Mar 25, 2026 · Other
Joined, latest
- R••••• P••••••••• from A••••• C••••••••• G••••Jan 31, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• R••••• · President And Chief Compliance Officercontrolsince 05/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Franklin, Tn | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 215 to 208Dec 26, 2024 to Feb 5, 2025
- Advisory activities · 3 to 4Dec 26, 2024 to Feb 5, 2025
- HNW clients · 47 to 48Dec 26, 2024 to Feb 5, 2025
- Assets in custody · $87.3M to $70.1MDec 26, 2024 to Feb 5, 2025
- Employees · 1 to 2Dec 26, 2024 to Feb 5, 2025
- Financial planning clients · 26-50 to 1-10Dec 26, 2024 to Feb 5, 2025
- HQ city · unset to Dec 26, 2024 to Feb 5, 2025
- HQ state · unset to Dec 26, 2024 to Feb 5, 2025
- Discretionary RAUM · $151M to $171MDec 26, 2024 to Feb 5, 2025
- HNW RAUM · $158M to $171MDec 26, 2024 to Feb 5, 2025
- Individual RAUM · $2.3M to $3.1MDec 26, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $9.7M to $5.2MDec 26, 2024 to Feb 5, 2025
- Pension RAUM · $1.3M to $1.8MDec 26, 2024 to Feb 5, 2025
- RAUM · $161M to $176MDec 26, 2024 to Feb 5, 2025
- Succession · true to falseDec 26, 2024 to Feb 5, 2025
- HQ city · IRVINE to unsetNov 15, 2024 to Dec 26, 2024
- HQ state · CA to unsetNov 15, 2024 to Dec 26, 2024
- Other offices · 1 to 0Nov 15, 2024 to Dec 26, 2024
- Succession · false to trueNov 15, 2024 to Dec 26, 2024
- Accounts · 322 to 215Feb 9, 2023 to Jan 31, 2024
- Advisory activities · 2 to 3Feb 9, 2023 to Jan 31, 2024
- BD registered reps · 1 to 0Feb 9, 2023 to Jan 31, 2024
- HNW clients · 35 to 47Feb 9, 2023 to Jan 31, 2024
- Individual clients · 19 to 5Feb 9, 2023 to Jan 31, 2024
- Assets in custody · $2.7M to $87.3MFeb 9, 2023 to Jan 31, 2024
- Custody of client assets · false to trueFeb 9, 2023 to Jan 31, 2024
- Employees · 5 to 1Feb 9, 2023 to Jan 31, 2024
- Financial planning clients · unset to 26-50Feb 9, 2023 to Jan 31, 2024
- Discretionary RAUM · $137M to $151MFeb 9, 2023 to Jan 31, 2024
- HNW RAUM · $136M to $158MFeb 9, 2023 to Jan 31, 2024
- Individual RAUM · $11.2M to $2.3MFeb 9, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $10.1M to $9.7MFeb 9, 2023 to Jan 31, 2024
- Pension RAUM · unset to 1305512.0Feb 9, 2023 to Jan 31, 2024
- RAUM · $148M to $161MFeb 9, 2023 to Jan 31, 2024
- Related adviser · true to falseFeb 9, 2023 to Jan 31, 2024
- Related broker-dealer · true to falseFeb 9, 2023 to Jan 31, 2024
- Accounts · 209 to 322Mar 1, 2022 to Feb 9, 2023
- Advisory activities · 3 to 2Mar 1, 2022 to Feb 9, 2023
- BD registered reps · 0 to 1Mar 1, 2022 to Feb 9, 2023
- HNW clients · 203 to 35Mar 1, 2022 to Feb 9, 2023
Signals
5 dated events
- P••••••• W••••• A•••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $176.1M)Apr 1, 2026 · Left the SEC roster · derived
- R••••• P••••••••• left P••••••• W••••• A•••••••• I••• for F•••••••• M••••••••• N•••••• I•• (registered 2009-08-04)Mar 25, 2026 · Advisor changed firm · fact
- P••••••• W••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 26, 2024 · Succession (Item 4) · fact
- Jason George Werner no longer registered at P••••••• W••••• A•••••••• I•••; no later IA registration on IAPDFeb 15, 2023 · Advisor departure · fact
- P••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 13, 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