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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SEC-registered adviser
P••••••• W••••• M•••••••••
Legal name J••••• E•••••
Latest filing Apr 1, 2026
First filing on the tape Nov 18, 2024 · 4 filings
SEC status approved since Dec 18, 2024
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$133M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$44.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$133M as of Apr 1, 2026
Mar 20, 2025$112M then
HNW client RAUM$106M as of Apr 1, 2026
Mar 20, 2025$85.8M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 20, 20253 then
Employees (5.A)3 as of Apr 1, 2026
Mar 20, 20253 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $44.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $944,767derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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
- High-net-worth individuals$106M79%
- Individuals$27.5M21%
- Individual clients
- 96reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 141reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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 |
|---|---|---|---|---|
| J•••••• L• J••••• | Draper, Ut | Sep 29, 2008 | 18 y | 0 |
| C•• T•••••• M•••••••• | Draper, Ut | Feb 19, 2023 | 18 y | 3 |
| P•••••• S•••• | Broomfield, Co | Dec 18, 2024 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- R••••• J••••• to W•••• P••• F•••••••• L••Jul 24, 2024 · RIA to a state-registered adviser
Joined, latest
- C•• T•••••• M•••••••• from A•••• C••••••• I•••Feb 19, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• J••••••• L• · Managing Member / Ccocontrolsince 06/2008 · owns 75% or more
Related persons
Schedule D 7.A
- J••• J••••• P•••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Draper, Ut · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Apr 1, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-20, yes on the filing of 2026-04-01peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 137 to 141Mar 20, 2025 to Apr 1, 2026
- Advisory activities · 1 to 2Mar 20, 2025 to Apr 1, 2026
- HNW clients · 41 to 45Mar 20, 2025 to Apr 1, 2026
- Financial planning clients · 0 to 1-10Mar 20, 2025 to Apr 1, 2026
- Discretionary RAUM · $112M to $133MMar 20, 2025 to Apr 1, 2026
- HNW RAUM · $85.8M to $106MMar 20, 2025 to Apr 1, 2026
- Individual RAUM · $25.9M to $27.5MMar 20, 2025 to Apr 1, 2026
- RAUM · $112M to $133MMar 20, 2025 to Apr 1, 2026
- Accounts · 140 to 137Nov 20, 2024 to Mar 20, 2025
- Individual clients · 99 to 96Nov 20, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Nov 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $116M to $112MNov 20, 2024 to Mar 20, 2025
- HNW RAUM · $92.3M to $85.8MNov 20, 2024 to Mar 20, 2025
- Individual RAUM · $23.7M to $25.9MNov 20, 2024 to Mar 20, 2025
- RAUM · $116M to $112MNov 20, 2024 to Mar 20, 2025
Signals
2 dated events
- P••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 18, 2024 · First SEC registration · fact
- R••••• J••••• left P••••••• W••••• M••••••••• for W•••• P••• F•••••••• L•• (registered 2019-10-10)Jul 24, 2024 · Advisor changed firm · fact
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
- Website
- palisadeadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-387-3808reportedpublic record, Form ADV, Apr 1, 2026
- Team page
- palisadeadvisor.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $44.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026