DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••• M•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 14, 2011 · 31 filings
SEC status approved since Apr 18, 2008
RAUM
$340M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$340M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$340M as of Mar 31, 2026
Mar 29, 2012$144M then
HNW client RAUM$329M as of Mar 31, 2026
Mar 27, 2018$195M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 22, 20134 then
Private funds1 as of Mar 31, 2026
Feb 4, 20141 then
RAUM +18% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $137M, 36 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M97%
- Individuals$10.6M3.1%
- Individual clients
- 21reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 223reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $137M for 36 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• K•••• G•••••• | Walnut Creek, Ca | Oct 21, 2025 | 40 y | 2 |
| S••••• J•••• P••• | Moraga, Ca | Dec 23, 2025 | 28 y | 1 |
| J••• M•••••• M••••• | Tuscon, Az | Jan 1, 2026 | 25 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• M•••••• M••••• from O•••• F•• I•••Jan 1, 2026 · Other
- S••••• J•••• P••• from O•••• F•• I•••Dec 23, 2025 · Other
- E••• K•••• G•••••• from M•• F•••••••• S•••••••• I•••Oct 21, 2025 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• M••••• C•••••• P•••••••• L• | Hedge Fund | $1.5M | 12 | Sep 25, 2013 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• J•••• M•••••• · Membercontrolsince 03/2008 · owns 50% to 75%
- P•••• S•••••• J•••• · Managing Member And Chief Compliance Officercontrolsince 03/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 215 to 223Jun 5, 2025 to Mar 31, 2026
- Corporate clients · 1.0 to unsetJun 5, 2025 to Mar 31, 2026
- Individual clients · 18 to 21Jun 5, 2025 to Mar 31, 2026
- Assets in custody · $114M to $137MJun 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $288M to $340MJun 5, 2025 to Mar 31, 2026
- HNW RAUM · $278M to $329MJun 5, 2025 to Mar 31, 2026
- Individual RAUM · $10.3M to $10.6MJun 5, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $389,929 to $455Jun 5, 2025 to Mar 31, 2026
- RAUM · $288M to $340MJun 5, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jun 5, 2025
- Accounts · 189 to 215Feb 27, 2025 to Mar 28, 2025
- Corporate clients · unset to 1.0Feb 27, 2025 to Mar 28, 2025
- HNW clients · 21 to 23Feb 27, 2025 to Mar 28, 2025
- Individual clients · 20 to 18Feb 27, 2025 to Mar 28, 2025
- Pooled vehicle clients · 1.0 to unsetFeb 27, 2025 to Mar 28, 2025
- Assets in custody · $99.8M to $114MFeb 27, 2025 to Mar 28, 2025
- Financial planning clients · 0 to 1-10Feb 27, 2025 to Mar 28, 2025
- Discretionary RAUM · $254M to $288MFeb 27, 2025 to Mar 28, 2025
- HNW RAUM · $241M to $278MFeb 27, 2025 to Mar 28, 2025
- Individual RAUM · $8.9M to $10.3MFeb 27, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $581 to $389,929Feb 27, 2025 to Mar 28, 2025
- RAUM · $254M to $288MFeb 27, 2025 to Mar 28, 2025
- Accounts · 199 to 189Mar 30, 2023 to Mar 26, 2024
- Assets in custody · $96.3M to $99.8MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $231M to $254MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $221M to $241MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $7.2M to $8.9MMar 30, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $459 to $581Mar 30, 2023 to Mar 26, 2024
- RAUM · $231M to $254MMar 30, 2023 to Mar 26, 2024
- Accounts · 196 to 199Jul 13, 2022 to Mar 30, 2023
- Pooled vehicle clients · unset to 1.0Jul 13, 2022 to Mar 30, 2023
- Assets in custody · $110M to $96.3MJul 13, 2022 to Mar 30, 2023
- Financial planning clients · 1-10 to 0Jul 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $257M to $231MJul 13, 2022 to Mar 30, 2023
- HNW RAUM · $246M to $221MJul 13, 2022 to Mar 30, 2023
- Individual RAUM · $8.7M to $7.2MJul 13, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $453 to $459Jul 13, 2022 to Mar 30, 2023
- RAUM · $257M to $231MJul 13, 2022 to Mar 30, 2023
- Accounts · 183 to 196Jul 20, 2021 to Mar 30, 2022
- HNW clients · 20 to 21Jul 20, 2021 to Mar 30, 2022
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.
How to reach
public business contact points only, each with its source
- Business phone
- 510-333-3236reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-928-7904reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-323-1229reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P•••M•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 925-974-3324reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026