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•••••• C••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 145678SEC 801-72717IAPD
Latest filing Jan 4, 2013
First filing on the tape Nov 15, 2011 · 4 filings
RAUM
$40.0M
reported, Item 5.F
Discretionary
100%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.3M gross assets
History
4 filings and snapshots on the tape
RAUM$40.0M as of Jan 4, 2013
Nov 15, 2011$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 4, 2013
Nov 15, 20110 then
Employees (5.A): 3
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 4, 2013; every figure names its basis
RAUM per advisor
$20.0MderivedRAUM 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
$167,364derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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)
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
239reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
P•••••• F••• L•Hedge Fund$2.3M30Jan 4, 2013
Owners and control persons
Schedule A and B, latest filing
  • O•••••• R••••••• L• · Managing Member And Chief Compliance Officercontrol
    since 01/2013 · 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 · 750 to 239
    Jul 12, 2012 to Jan 4, 2013
  • Advisory employees · unset to 3.0
    Jul 12, 2012 to Jan 4, 2013
  • Advisory activities · 5 to 3
    Jul 12, 2012 to Jan 4, 2013
  • BD registered reps · unset to 0.0
    Jul 12, 2012 to Jan 4, 2013
  • Employees · unset to 3.0
    Jul 12, 2012 to Jan 4, 2013
  • Financial planning clients · 0 to 1-10
    Jul 12, 2012 to Jan 4, 2013
  • State-registered IARs · 0 to 2
    Jul 12, 2012 to Jan 4, 2013
  • Private funds · unset to 1
    Jul 12, 2012 to Jan 4, 2013
  • Discretionary RAUM · $75.0M to $40.0M
    Jul 12, 2012 to Jan 4, 2013
  • Non-discretionary RAUM · $32.0M to $0
    Jul 12, 2012 to Jan 4, 2013
  • RAUM · $107M to $40.0M
    Jul 12, 2012 to Jan 4, 2013
  • Related insurance company · true to false
    Jul 12, 2012 to Jan 4, 2013
  • Insurance-licensed employees · unset to 2.0
    Dec 7, 2011 to Jul 12, 2012
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