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••••••••• E•••••••• P•••••••• L••
Latest filing Nov 11, 2020
First filing on the tape Dec 23, 2011 · 45 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
13 advisory (5.B.1)
Offices
13
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 27, 2020
Dec 23, 20110 then
Employees (5.A)13 as of Mar 27, 2020
Jan 24, 201318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 17 to 13offices 23 to 13
Practice profile
derived from the filing of Nov 11, 2020; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived14 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -24%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
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
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- P•••• M•••••• C••••••• to F•••• A••••••• N•••••••• L••Jun 1, 2021 · Other
- J•••• A•• H•••••• to P• W••••• A•••••••• L••Jun 1, 2021 · Other
- J•••• I••• H•••••••• to P• W••••• A•••••••• L••Feb 11, 2021 · Other
- T••••• W•••• Y•••• to P• W••••• A•••••••• L••Feb 11, 2021 · Other
- D••••• E••• B•••••• to D•••••• W••••• M•••••••••Feb 11, 2021 · Other
- I•• J••••• S•••• to I••Dec 7, 2018 · Other
- R••••• W••••• B••••• to R•••••• W••••• A•••••••• I•••Nov 28, 2018 · Other
- K•••••• D• G••••• to G••••••• W••••• S••••••••• L•••Nov 1, 2018 · Other
- B•••• M•••••• M•••••••• to R••••••••• W••••• A•••••••• L••Sep 14, 2018 · Other
- S•••••• S•••••••• to V•• A•••••••• I•••Jul 26, 2018 · Other
- D••••• G••• D••• to B••••••••• W••••• A•••••••• L••Nov 20, 2017 · Other
- G••• C•••••• W•••• to G••••• F•••••••• P•••••• C••••••• I•••May 2, 2016 · Other
- B•••••• P•••••• T•••••••• to O•••• W•••••• I•••Jul 12, 2012 · Other
- D•••• L•• C••• to T••••••••• F•••••••• A•••••••• L••Feb 6, 2012 · Other
- D••••• L••••••• K•••••• to B•• H••••• F•••••••• A•••••••• I••Nov 1, 2011 · Other
Joined, latest
- P•••• M•••••• C••••••• from O•••• I••••••••• I•••May 20, 2020 · Other
- T••••• W•••• Y•••• from M•••••• A••••• S••••••••• L••Nov 2, 2018 · Other
- S•••••• S•••••••• from R•••••• T•••••• A•••••••• L••Dec 12, 2016 · Other
- B•••• M•••••• M•••••••• from O•• S••••••• G••••Nov 10, 2015 · Other
- B•••••• P•••••• T•••••••• from A••••••• P••••••••• A•••••••• I••Mar 11, 2011 · Other
- D••••• L••••••• K•••••• from W•••••• B•••• • C•••••• L•••••Feb 25, 2011 · Other
- R•• J••••• I•••••• from P••••••••• S••••••••• C•••••••••Oct 15, 2010 · Other
- R••••• W••••• B••••• from W••••••• S••••••••• A•••••••Oct 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• S•••••• · Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
- L•••••••• T•••• A•••• · Ownercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• F•• P••••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
- Alpine, UT1 employees
- Beaver, PA1 employees
- Chicago, IL1 employees
- Holden, MA1 employees
- Mt. Enterprise, TX1 employees
- Mundelein, IL1 employees
- River Heights, UT1 employees
- Romeny, WV1 employees
- Salt Lake City, UT1 employees
- Templeton, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Sep 28, 2020 to Nov 11, 2020
- Employees · 13 to 14Sep 28, 2020 to Nov 11, 2020
- State-registered IARs · 2 to 13Sep 28, 2020 to Nov 11, 2020
- Advisory employees · 13 to 12Jul 3, 2020 to Aug 18, 2020
- State-registered IARs · 13 to 2Jul 3, 2020 to Aug 18, 2020
- Other offices · 12 to 13Jul 3, 2020 to Aug 18, 2020
- Other offices · 10 to 12Jun 29, 2020 to Jul 3, 2020
- Financial planning clients · 11-25 to 1-10Nov 25, 2019 to Mar 11, 2020
- Other offices · 23 to 10Nov 25, 2019 to Mar 11, 2020
- Advisory activities · 1 to 2Jun 3, 2019 to Jul 8, 2019
- Advisory employees · 17 to 13Apr 1, 2019 to Jun 3, 2019
- Employees · 17 to 13Apr 1, 2019 to Jun 3, 2019
- State-registered IARs · 17 to 13Apr 1, 2019 to Jun 3, 2019
- Business name · P••••••• F•• P••••••••• L•• to P••••••••• E•••••••• P•••••••• L••Oct 22, 2018 to Dec 20, 2018
- Legal name · P••••••• F•• P••••••••• L•• to P••••••••• E•••••••• P•••••••• L••Oct 22, 2018 to Dec 20, 2018
- Other offices · 22 to 23Mar 30, 2018 to May 3, 2018
- Advisory employees · 16 to 17Dec 12, 2017 to Mar 30, 2018
- Employees · 16 to 17Dec 12, 2017 to Mar 30, 2018
- State-registered IARs · 16 to 17Dec 12, 2017 to Mar 30, 2018
- Other offices · unset to 22.0Sep 21, 2017 to Nov 3, 2017
- Advisory employees · 11 to 16Feb 24, 2017 to Mar 28, 2017
- Advisory activities · 2 to 1Feb 24, 2017 to Mar 28, 2017
- Employees · 11 to 16Feb 24, 2017 to Mar 28, 2017
- State-registered IARs · 11 to 16Feb 24, 2017 to Mar 28, 2017
- Business name · P••••••• F•• P••••••••• I••• to P••••••• F•• P••••••••• L••Dec 23, 2014 to Sep 22, 2015
- Legal name · P••••••• F•• P••••••••• I••• to P••••••• F•• P••••••••• L••Dec 23, 2014 to Sep 22, 2015
- Succession · true to falseDec 23, 2014 to Sep 22, 2015
- Insurance-licensed employees · 2 to 1Sep 24, 2014 to Dec 23, 2014
- Organization form · Corporation to Limited Liability CompanySep 24, 2014 to Dec 23, 2014
- Succession · false to trueSep 24, 2014 to Dec 23, 2014
- Advisory employees · 18 to 11Nov 19, 2013 to Dec 17, 2013
- Advisory activities · 1 to 2Nov 19, 2013 to Dec 17, 2013
- BD registered reps · 10 to 0Nov 19, 2013 to Dec 17, 2013
- Employees · 18 to 11Nov 19, 2013 to Dec 17, 2013
- Insurance-licensed employees · 3 to 2Nov 19, 2013 to Dec 17, 2013
- Financial planning clients · unset to 11-25Nov 19, 2013 to Dec 17, 2013
- State-registered IARs · 13 to 11Nov 19, 2013 to Dec 17, 2013
- Advisory employees · unset to 18.0Aug 23, 2012 to Jan 24, 2013
- BD registered reps · unset to 10.0Aug 23, 2012 to Jan 24, 2013
- Employees · unset to 18.0Aug 23, 2012 to Jan 24, 2013
Signals
6 dated events
- P••••••••• E•••••••• P•••••••• L•• reported 13 state-registered advisory representatives, up from 2 (2020-09-28 to 2020-11-11)Nov 11, 2020 · Advisor headcount change · derived
- P••••••••• E•••••••• P•••••••• L•• reported 2 state-registered advisory representatives, down from 13 (2020-07-03 to 2020-08-18)Aug 18, 2020 · Advisor headcount change · derived
- Diane Kim Butler (Owner) no longer on Schedule A of P••••••••• E•••••••• P•••••••• L•• (listed 2020-07-03, absent 2020-08-18)Aug 18, 2020 · Control person left · inference
- P••••••••• E•••••••• P•••••••• L•• reported 10 offices beyond its principal office, down from 23 (2019-11-25 to 2020-03-11)Mar 11, 2020 · Office count change · derived
- Sothara Chin (Chief Compliance Officer) appeared on Schedule A of P••••••••• E•••••••• P•••••••• L••Aug 20, 2019 · Control person joined · fact
- P••••••• F•• P••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 23, 2014 · Succession (Item 4) · 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