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••••• F•••••••• S•••••••

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 136237SEC 801-120869IAPD
Legal name P•••••• L••••••• I••
Latest filing Mar 16, 2023
First filing on the tape Mar 19, 2021 · 7 filings
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$148M 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
7 filings and snapshots on the tape
RAUM$148M as of Mar 16, 2023
Mar 22, 2022$184M then
HNW client RAUM$130M as of Mar 16, 2023
Mar 22, 2022$163M then
State-registered IARs (5.B.3)1 as of Mar 16, 2023
Mar 22, 20221 then
Employees (5.A)2 as of Mar 16, 2023
Mar 22, 20222 then
Private funds: no history
RAUM -20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2023; every figure names its basis
RAUM per advisor
$148MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
145derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$608,276derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$27.8M, 30 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$130M88%
  • Individuals$18.1M12%
Individual clients
71reported
HNW clients
74reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
243reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$27.8M for 30 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• L•••••••• I•• · Owner & Chief Compliance Officercontrol
    since 09/1997 · 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
  • Accounts · 221 to 243
    Nov 3, 2022 to Mar 16, 2023
  • Advisory employees · 2 to 1
    Nov 3, 2022 to Mar 16, 2023
  • HNW clients · 64 to 74
    Nov 3, 2022 to Mar 16, 2023
  • Individual clients · 70 to 71
    Nov 3, 2022 to Mar 16, 2023
  • Pension plan clients · 4.0 to unset
    Nov 3, 2022 to Mar 16, 2023
  • Discretionary RAUM · $184M to $148M
    Nov 3, 2022 to Mar 16, 2023
  • HNW RAUM · $163M to $130M
    Nov 3, 2022 to Mar 16, 2023
  • Individual RAUM · $17.0M to $18.1M
    Nov 3, 2022 to Mar 16, 2023
  • Pension RAUM · 4661201.0 to unset
    Nov 3, 2022 to Mar 16, 2023
  • RAUM · $184M to $148M
    Nov 3, 2022 to Mar 16, 2023
  • Accounts · 189 to 221
    Nov 19, 2021 to Mar 22, 2022
  • Advisory activities · 2 to 3
    Nov 19, 2021 to Mar 22, 2022
  • HNW clients · 51 to 64
    Nov 19, 2021 to Mar 22, 2022
  • Individual clients · 67 to 70
    Nov 19, 2021 to Mar 22, 2022
  • Pension plan clients · unset to 4.0
    Nov 19, 2021 to Mar 22, 2022
  • Assets in custody · $48.9M to $27.8M
    Nov 19, 2021 to Mar 22, 2022
  • Discretionary RAUM · $135M to $184M
    Nov 19, 2021 to Mar 22, 2022
  • HNW RAUM · $102M to $163M
    Nov 19, 2021 to Mar 22, 2022
  • Individual RAUM · $33.0M to $17.0M
    Nov 19, 2021 to Mar 22, 2022
  • Pension RAUM · unset to 4661201.0
    Nov 19, 2021 to Mar 22, 2022
  • RAUM · $135M to $184M
    Nov 19, 2021 to Mar 22, 2022
Signals
2 dated events
  • L••••••• I•• P••••• left P••••• F•••••••• S••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-04-03)
    Apr 27, 2023 · Advisor changed firm · fact
  • P••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)
    Mar 19, 2021 · 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