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

Pioneer Advisors, LLC

Former SEC-registered adviserScottsdale, ArizonaCRD 148958SEC 801-71602IAPD
Latest filing Sep 23, 2015
First filing on the tape Feb 23, 2012 · 15 filings
RAUM
$283M
reported, Item 5.F
Discretionary
0.4%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$115M as of Mar 31, 2015
Feb 23, 2012$26.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Feb 23, 20120 then
Employees (5.A)5 as of Mar 31, 2015
May 2, 20139 then
Private funds: no history
RAUM +146% over the last fiscal year+120% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2015; 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
$40.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.4%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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
  • 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
7reported
Financial planning clients
0reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • James Patrick Flanery · President, Ccocontrol
    since 09/2015 · owns less than 5%
Entity owners
  • Morgan Capital, LLC · 100% Owner Of Pioneer
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • Patrick J. Flanery
    LP sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 4 to 2
    Jun 2, 2015 to Sep 23, 2015
  • Employees · 5 to 3
    Jun 2, 2015 to Sep 23, 2015
  • Accounts · 2 to 7
    Apr 15, 2015 to Jun 2, 2015
  • Non-discretionary RAUM · $114M to $282M
    Apr 15, 2015 to Jun 2, 2015
  • RAUM · $115M to $283M
    Apr 15, 2015 to Jun 2, 2015
  • Related adviser · true to false
    Apr 15, 2015 to Jun 2, 2015
  • Accounts · 301 to 2
    Mar 31, 2015 to Apr 15, 2015
  • Accounts · 115 to 301
    Apr 30, 2014 to Mar 31, 2015
  • Advisory activities · 3 to 4
    Apr 30, 2014 to Mar 31, 2015
  • Discretionary RAUM · $7.5M to $1.0M
    Apr 30, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $70.0M to $114M
    Apr 30, 2014 to Mar 31, 2015
  • RAUM · $77.5M to $115M
    Apr 30, 2014 to Mar 31, 2015
  • Accounts · 300 to 115
    Feb 25, 2014 to Apr 30, 2014
  • Financial planning clients · unset to 0
    Feb 25, 2014 to Apr 30, 2014
  • Discretionary RAUM · $115M to $7.5M
    Feb 25, 2014 to Apr 30, 2014
  • Non-discretionary RAUM · $0 to $70.0M
    Feb 25, 2014 to Apr 30, 2014
  • RAUM · $115M to $77.5M
    Feb 25, 2014 to Apr 30, 2014
  • Accounts · 430 to 300
    Sep 30, 2013 to Feb 25, 2014
  • Advisory activities · 5 to 3
    Sep 30, 2013 to Feb 25, 2014
  • Financial planning clients · 1-10 to unset
    Sep 30, 2013 to Feb 25, 2014
  • Discretionary RAUM · $118M to $115M
    Sep 30, 2013 to Feb 25, 2014
  • RAUM · $118M to $115M
    Sep 30, 2013 to Feb 25, 2014
  • Related broker-dealer · true to false
    Sep 30, 2013 to Feb 25, 2014
  • Advisory employees · 7 to 4
    May 2, 2013 to Sep 30, 2013
  • BD registered reps · 3 to 0
    May 2, 2013 to Sep 30, 2013
  • Employees · 9 to 5
    May 2, 2013 to Sep 30, 2013
  • Accounts · 384 to 430
    Jun 28, 2012 to May 2, 2013
  • Advisory employees · unset to 7.0
    Jun 28, 2012 to May 2, 2013
  • Advisory activities · 4 to 5
    Jun 28, 2012 to May 2, 2013
  • BD registered reps · unset to 3.0
    Jun 28, 2012 to May 2, 2013
  • Employees · unset to 9.0
    Jun 28, 2012 to May 2, 2013
  • Discretionary RAUM · $118M to $118M
    Jun 28, 2012 to May 2, 2013
  • RAUM · $118M to $118M
    Jun 28, 2012 to May 2, 2013
  • Related adviser · false to true
    Jun 28, 2012 to May 2, 2013
  • Accounts · 290 to 384
    Jun 14, 2012 to Jun 27, 2012
  • Financial planning clients · 101-250 to 1-10
    Jun 14, 2012 to Jun 27, 2012
  • Discretionary RAUM · $26.4M to $118M
    Jun 14, 2012 to Jun 27, 2012
  • RAUM · $26.4M to $118M
    Jun 14, 2012 to Jun 27, 2012
  • Related adviser · true to false
    Jun 14, 2012 to Jun 27, 2012
  • Related broker-dealer · true to false
    Jun 14, 2012 to Jun 27, 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