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

Case Pearlman Retirement Plan Advisors, LLC

Former SEC-registered adviserFort Myers, FloridaCRD 148892SEC 801-79808IAPD
Latest filing Mar 12, 2021
First filing on the tape May 20, 2014 · 10 filings
RAUM
$478M
reported, Item 5.F
Discretionary
95%
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$478M as of Mar 12, 2021
Mar 20, 2015$240M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 12, 2021
Mar 20, 20154 then
Employees (5.A)6 as of Mar 12, 2021
Mar 20, 20157 then
Private funds: no history
RAUM +5.5% over the last fiscal year+11% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 12, 2021; every figure names its basis
RAUM per advisor
$95.6MderivedRAUM 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
$4.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.5%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
pension consultingreportedItem 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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$478M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
101reported
Charitable clients
n/areported
Accounts
101reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Dewey Thomas Case · Managing Membercontrol
        since 04/2011 · owns less than 5%
      • Marc Dennis Pearlman · Managing Member/President & Chief Compliance Officercontrol
        since 04/2011 · owns less than 5%
      • Dewey Thomas Case · Managing Membercontrol
        since 04/2011 · owns 50% to 75% of Case Pearlman Holdings, LLC
      • Marc Dennis Pearlman · Managing Membercontrol
        since 04/2011 · owns 25% to 50% of Case Pearlman Holdings, LLC
      Entity owners
      • Case Pearlman Holdings, LLC · Parent Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • Case Life Solutions, LLC
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 54 to 101
        Jun 26, 2020 to Mar 12, 2021
      • Advisory employees · 4 to 5
        Jun 26, 2020 to Mar 12, 2021
      • Pension plan clients · 54 to 101
        Jun 26, 2020 to Mar 12, 2021
      • Employees · 5 to 6
        Jun 26, 2020 to Mar 12, 2021
      • State-registered IARs · 4 to 5
        Jun 26, 2020 to Mar 12, 2021
      • Discretionary RAUM · $432M to $453M
        Jun 26, 2020 to Mar 12, 2021
      • Non-discretionary RAUM · $21.0M to $25.0M
        Jun 26, 2020 to Mar 12, 2021
      • Pension RAUM · $453M to $478M
        Jun 26, 2020 to Mar 12, 2021
      • RAUM · $453M to $478M
        Jun 26, 2020 to Mar 12, 2021
      • Discretionary RAUM · $347M to $432M
        Mar 20, 2019 to Mar 20, 2020
      • Non-discretionary RAUM · $28.4M to $21.0M
        Mar 20, 2019 to Mar 20, 2020
      • Pension RAUM · $376M to $453M
        Mar 20, 2019 to Mar 20, 2020
      • RAUM · $376M to $453M
        Mar 20, 2019 to Mar 20, 2020
      • Accounts · 44 to 54
        Mar 19, 2018 to Mar 20, 2019
      • Pension plan clients · 44 to 54
        Mar 19, 2018 to Mar 20, 2019
      • Employees · 6 to 5
        Mar 19, 2018 to Mar 20, 2019
      • Discretionary RAUM · $327M to $347M
        Mar 19, 2018 to Mar 20, 2019
      • Non-discretionary RAUM · $24.7M to $28.4M
        Mar 19, 2018 to Mar 20, 2019
      • Pension RAUM · $352M to $376M
        Mar 19, 2018 to Mar 20, 2019
      • RAUM · $352M to $376M
        Mar 19, 2018 to Mar 20, 2019
      • Accounts · 43 to 44
        Mar 24, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 44.0
        Mar 24, 2017 to Mar 19, 2018
      • Employees · 7 to 6
        Mar 24, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Mar 24, 2017 to Mar 19, 2018
      • Discretionary RAUM · $241M to $327M
        Mar 24, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $44.0M to $24.7M
        Mar 24, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 351596539.0
        Mar 24, 2017 to Mar 19, 2018
      • RAUM · $285M to $352M
        Mar 24, 2017 to Mar 19, 2018
      • Accounts · 41 to 43
        Mar 29, 2016 to Mar 24, 2017
      • Discretionary RAUM · $222M to $241M
        Mar 29, 2016 to Mar 24, 2017
      • Non-discretionary RAUM · $46.3M to $44.0M
        Mar 29, 2016 to Mar 24, 2017
      • RAUM · $268M to $285M
        Mar 29, 2016 to Mar 24, 2017
      • Accounts · 40 to 41
        Mar 20, 2015 to Mar 29, 2016
      • Discretionary RAUM · $213M to $222M
        Mar 20, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $27.1M to $46.3M
        Mar 20, 2015 to Mar 29, 2016
      • RAUM · $240M to $268M
        Mar 20, 2015 to Mar 29, 2016
      • Accounts · 37 to 40
        May 29, 2014 to Mar 20, 2015
      • Discretionary RAUM · $154M to $213M
        May 29, 2014 to Mar 20, 2015
      • Non-discretionary RAUM · $48.9M to $27.1M
        May 29, 2014 to Mar 20, 2015
      • RAUM · $203M to $240M
        May 29, 2014 to Mar 20, 2015
      Signals
      1 dated events
      • Case Pearlman Retirement Plan Advisors, Llc filed its initial SEC registration (Form ADV)
        May 20, 2014 · First SEC registration · 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