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•••••••• L••

Former SEC-registered adviserChandler, ArizonaCRD 136182SEC 801-78460IAPD
Latest filing Jun 17, 2020
First filing on the tape Aug 13, 2013 · 13 filings
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$102M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$119M as of Mar 30, 2020
Jan 27, 2014$124M then
HNW client RAUM$66.2M as of Mar 30, 2020
Mar 2, 2018$97.4M then
State-registered IARs (5.B.3)2 as of Mar 30, 2020
Jan 27, 20142 then
Employees (5.A)2 as of Mar 30, 2020
Jan 27, 20142 then
Private funds: no history
RAUM +5.4% over the last fiscal year-0.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 17, 2020; every figure names its basis
RAUM per advisor
$59.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$557,290derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.1%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$712,000, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$66.2M56%
  • Individuals$35.6M30%
  • Pension and profit-sharing plans$16.9M14%
Individual clients
71reported
HNW clients
22reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
213reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$712,000 for 4 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
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
    • D••••• J••••• D••••• · Managing Membercontrol
      since 06/2013 · owns 25% to 50%
    • M•••••••• M••••••• D••••• · Managing Member/Chief Compliance Officercontrol
      since 08/2005 · owns 50% to 75%
    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 · 321 to 213
      Mar 13, 2019 to Mar 30, 2020
    • HNW clients · 62 to 22
      Mar 13, 2019 to Mar 30, 2020
    • Individual clients · 33 to 71
      Mar 13, 2019 to Mar 30, 2020
    • Pension plan clients · 12 to 6
      Mar 13, 2019 to Mar 30, 2020
    • Assets in custody · unset to 712000.0
      Mar 13, 2019 to Mar 30, 2020
    • Custody of client assets · false to true
      Mar 13, 2019 to Mar 30, 2020
    • Financial planning clients · 101-250 to 51-100
      Mar 13, 2019 to Mar 30, 2020
    • Discretionary RAUM · $113M to $119M
      Mar 13, 2019 to Mar 30, 2020
    • HNW RAUM · $72.3M to $66.2M
      Mar 13, 2019 to Mar 30, 2020
    • Individual RAUM · $24.0M to $35.6M
      Mar 13, 2019 to Mar 30, 2020
    • Pension RAUM · $16.3M to $16.9M
      Mar 13, 2019 to Mar 30, 2020
    • RAUM · $113M to $119M
      Mar 13, 2019 to Mar 30, 2020
    • Accounts · 341 to 321
      Mar 2, 2018 to Mar 13, 2019
    • HNW clients · 90 to 62
      Mar 2, 2018 to Mar 13, 2019
    • Individual clients · 12 to 33
      Mar 2, 2018 to Mar 13, 2019
    • Discretionary RAUM · $142M to $113M
      Mar 2, 2018 to Mar 13, 2019
    • HNW RAUM · $97.4M to $72.3M
      Mar 2, 2018 to Mar 13, 2019
    • Individual RAUM · $3.8M to $24.0M
      Mar 2, 2018 to Mar 13, 2019
    • Pension RAUM · $41.0M to $16.3M
      Mar 2, 2018 to Mar 13, 2019
    • RAUM · $142M to $113M
      Mar 2, 2018 to Mar 13, 2019
    • Accounts · 336 to 341
      Feb 22, 2017 to Mar 2, 2018
    • HNW clients · unset to 90.0
      Feb 22, 2017 to Mar 2, 2018
    • Individual clients · unset to 12.0
      Feb 22, 2017 to Mar 2, 2018
    • Pension plan clients · unset to 12.0
      Feb 22, 2017 to Mar 2, 2018
    • Financial planning clients · 0 to 101-250
      Feb 22, 2017 to Mar 2, 2018
    • Other offices · unset to 0.0
      Feb 22, 2017 to Mar 2, 2018
    • Discretionary RAUM · $91.1M to $142M
      Feb 22, 2017 to Mar 2, 2018
    • HNW RAUM · unset to 97427880.0
      Feb 22, 2017 to Mar 2, 2018
    • Individual RAUM · unset to 3817000.0
      Feb 22, 2017 to Mar 2, 2018
    • Non-discretionary RAUM · $28.7M to $0
      Feb 22, 2017 to Mar 2, 2018
    • Pension RAUM · unset to 40962514.0
      Feb 22, 2017 to Mar 2, 2018
    • RAUM · $120M to $142M
      Feb 22, 2017 to Mar 2, 2018
    • Accounts · 319 to 336
      Mar 25, 2016 to Feb 22, 2017
    • Advisory activities · 4 to 3
      Mar 25, 2016 to Feb 22, 2017
    • Discretionary RAUM · $80.8M to $91.1M
      Mar 25, 2016 to Feb 22, 2017
    • Non-discretionary RAUM · $23.2M to $28.7M
      Mar 25, 2016 to Feb 22, 2017
    • RAUM · $104M to $120M
      Mar 25, 2016 to Feb 22, 2017
    • Accounts · 246 to 319
      Mar 30, 2015 to Mar 25, 2016
    • Advisory activities · 3 to 4
      Mar 30, 2015 to Mar 25, 2016
    • Employees · 3 to 2
      Mar 30, 2015 to Mar 25, 2016
    Signals
    1 dated events
    • P••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 13, 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