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.

Former SEC-registered adviser

Palo Capital, Inc.

Former SEC-registered adviserNewport Beach, CaliforniaCRD 136478SEC 801-69026IAPD
Latest filing Mar 26, 2018
First filing on the tape Mar 29, 2012 · 14 filings
RAUM
$341M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$333M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$341M as of Mar 26, 2018
Mar 29, 2012$107M then
HNW client RAUM: $315M
State-registered IARs (5.B.3)4 as of Mar 26, 2018
Mar 29, 20120 then
Employees (5.A)7 as of Mar 26, 2018
Feb 13, 20134 then
Private funds: no history
RAUM +30% over the last fiscal year+22% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
RAUM per advisor
$85.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$718,808derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+30%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$10.5M, 11 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$315M92%
  • Individuals$18.0M5.3%
  • Other investment advisers$8.0M2.3%
  • Charitable organizations$424,2120.1%
Individual clients
44reported
HNW clients
164reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
475reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$10.5M for 11 clientsreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Patrick Kevin Barlow · Managing Directorcontrol
    since 04/2015 · owns 10% to 25%
  • Francis Kevin O'Grady · President & Chief Compliance Officercontrol
    since 08/2005 · owns 25% to 50%
  • Singh Puneet Sahi · Co-Chief Investment Officercontrol
    since 01/2017 · owns 10% to 25%
  • Allen Derek Webster · Shareholdercontrol
    since 08/2005 · owns 25% to 50%
  • Allen Nella Webster · Trustee, O'Grady Webster Trust Dated May 2, 2005control
    since 08/2005 · owns 25% to 50%
Entity owners
  • O'Grady Webster Trust Dated May 2, 2005 · Shareholder
    direct · owns 25% to 50%
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 · 431 to 475
    Mar 28, 2017 to Mar 26, 2018
  • HNW clients · unset to 164.0
    Mar 28, 2017 to Mar 26, 2018
  • Individual clients · unset to 44.0
    Mar 28, 2017 to Mar 26, 2018
  • Assets in custody · unset to 10527124.0
    Mar 28, 2017 to Mar 26, 2018
  • Custody of client assets · false to true
    Mar 28, 2017 to Mar 26, 2018
  • Other offices · unset to 0.0
    Mar 28, 2017 to Mar 26, 2018
  • Discretionary RAUM · $263M to $341M
    Mar 28, 2017 to Mar 26, 2018
  • HNW RAUM · unset to 315036117.0
    Mar 28, 2017 to Mar 26, 2018
  • Individual RAUM · unset to 17973378.0
    Mar 28, 2017 to Mar 26, 2018
  • RAUM · $263M to $341M
    Mar 28, 2017 to Mar 26, 2018
  • Advisory activities · 2 to 1
    Mar 27, 2017 to Mar 28, 2017
  • Financial planning clients · 101-250 to unset
    Mar 27, 2017 to Mar 28, 2017
  • Accounts · 337 to 431
    Mar 29, 2016 to Mar 27, 2017
  • Advisory activities · 1 to 2
    Mar 29, 2016 to Mar 27, 2017
  • Employees · 6 to 7
    Mar 29, 2016 to Mar 27, 2017
  • Financial planning clients · unset to 101-250
    Mar 29, 2016 to Mar 27, 2017
  • State-registered IARs · 3 to 4
    Mar 29, 2016 to Mar 27, 2017
  • Discretionary RAUM · $175M to $263M
    Mar 29, 2016 to Mar 27, 2017
  • RAUM · $175M to $263M
    Mar 29, 2016 to Mar 27, 2017
  • Accounts · 308 to 337
    Nov 13, 2015 to Mar 29, 2016
  • Discretionary RAUM · $189M to $175M
    Nov 13, 2015 to Mar 29, 2016
  • RAUM · $189M to $175M
    Nov 13, 2015 to Mar 29, 2016
  • Accounts · 279 to 308
    Nov 6, 2014 to Mar 30, 2015
  • Discretionary RAUM · $168M to $189M
    Nov 6, 2014 to Mar 30, 2015
  • RAUM · $168M to $189M
    Nov 6, 2014 to Mar 30, 2015
  • Accounts · 251 to 279
    Mar 28, 2014 to Jul 1, 2014
  • Advisory employees · 2 to 4
    Mar 28, 2014 to Jul 1, 2014
  • Employees · 5 to 6
    Mar 28, 2014 to Jul 1, 2014
  • Discretionary RAUM · $154M to $168M
    Mar 28, 2014 to Jul 1, 2014
  • RAUM · $154M to $168M
    Mar 28, 2014 to Jul 1, 2014
  • Employees · 4 to 5
    Feb 13, 2013 to Mar 28, 2014
  • HQ city · unset to NEWPORT BEACH
    Feb 13, 2013 to Mar 28, 2014
  • HQ state · unset to CA
    Feb 13, 2013 to Mar 28, 2014
  • Discretionary RAUM · $114M to $154M
    Feb 13, 2013 to Mar 28, 2014
  • RAUM · $114M to $154M
    Feb 13, 2013 to Mar 28, 2014
  • Accounts · 248 to 251
    Mar 29, 2012 to Feb 13, 2013
  • Advisory employees · unset to 2.0
    Mar 29, 2012 to Feb 13, 2013
  • Employees · unset to 4.0
    Mar 29, 2012 to Feb 13, 2013
  • Financial planning clients · 0 to unset
    Mar 29, 2012 to Feb 13, 2013
  • State-registered IARs · 0 to 3
    Mar 29, 2012 to Feb 13, 2013
Signals
No event on the tape.
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