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••••• A••••••• G••••• L••

Former SEC-registered adviserSt. George, UtahCRD 150946SEC 801-110931IAPD
Latest filing Feb 22, 2024
First filing on the tape Jun 29, 2017 · 19 filings
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$188M as of Feb 22, 2024
Mar 2, 2018$133M then
HNW client RAUM$126M as of Feb 22, 2024
Mar 2, 2018$96.1M then
State-registered IARs (5.B.3)2 as of Feb 22, 2024
Mar 2, 20182 then
Employees (5.A)4 as of Feb 22, 2024
Mar 2, 20183 then
Private funds: no history
RAUM +0.3% over the last fiscal year+3.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 22, 2024; every figure names its basis
RAUM per advisor
$93.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$405,287derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.5%derived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$126M67%
  • Individuals$61.7M33%
Individual clients
131reported
HNW clients
66reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
463reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• C•••• W•••••• · President/Chief Compliance Officercontrol
    since 11/2008 · owns 75% or more
  • A•••••••• K•••••• D•••• · Advisor
    since 01/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
St George, Ut000
Offices
Schedule D 1.F, the 25 largest
  • Mesquite, NV2 employees
What changed
consecutive filings, newest first
  • Accounts · 484 to 463
    Dec 20, 2023 to Feb 22, 2024
  • HNW clients · 58 to 66
    Dec 20, 2023 to Feb 22, 2024
  • Individual clients · 144 to 131
    Dec 20, 2023 to Feb 22, 2024
  • Insurance-licensed employees · 0 to 2
    Dec 20, 2023 to Feb 22, 2024
  • Discretionary RAUM · $187M to $188M
    Dec 20, 2023 to Feb 22, 2024
  • HNW RAUM · $127M to $126M
    Dec 20, 2023 to Feb 22, 2024
  • Individual RAUM · $60.2M to $61.7M
    Dec 20, 2023 to Feb 22, 2024
  • RAUM · $187M to $188M
    Dec 20, 2023 to Feb 22, 2024
  • Related adviser · false to true
    Dec 20, 2023 to Feb 22, 2024
  • Assets in custody · 761848.0 to unset
    Oct 23, 2023 to Dec 20, 2023
  • Custody of client assets · true to false
    Oct 23, 2023 to Dec 20, 2023
  • Assets in custody · unset to 761848.0
    Aug 9, 2023 to Oct 4, 2023
  • Custody of client assets · false to true
    Aug 9, 2023 to Oct 4, 2023
  • Accounts · 447 to 484
    Aug 29, 2022 to Mar 9, 2023
  • HNW clients · 54 to 58
    Aug 29, 2022 to Mar 9, 2023
  • Individual clients · 140 to 144
    Aug 29, 2022 to Mar 9, 2023
  • Discretionary RAUM · $193M to $187M
    Aug 29, 2022 to Mar 9, 2023
  • HNW RAUM · $160M to $127M
    Aug 29, 2022 to Mar 9, 2023
  • Individual RAUM · $32.2M to $60.2M
    Aug 29, 2022 to Mar 9, 2023
  • RAUM · $193M to $187M
    Aug 29, 2022 to Mar 9, 2023
  • Succession · true to false
    Apr 21, 2022 to Aug 29, 2022
  • Business name · P••••• A••••••• G••••• I•• to P••••• A••••••• G••••• L••
    Mar 23, 2022 to Apr 21, 2022
  • Legal name · P••••• A••••••• G••••• I•• to P••••• A••••••• G••••• L••
    Mar 23, 2022 to Apr 21, 2022
  • Succession · false to true
    Mar 23, 2022 to Apr 21, 2022
  • Accounts · 401 to 447
    Mar 19, 2021 to Mar 23, 2022
  • HNW clients · 50 to 54
    Mar 19, 2021 to Mar 23, 2022
  • Individual clients · 126 to 140
    Mar 19, 2021 to Mar 23, 2022
  • Employees · 3 to 4
    Mar 19, 2021 to Mar 23, 2022
  • Organization form · Corporation to Limited Liability Company
    Mar 19, 2021 to Mar 23, 2022
  • Discretionary RAUM · $170M to $193M
    Mar 19, 2021 to Mar 23, 2022
  • HNW RAUM · $141M to $160M
    Mar 19, 2021 to Mar 23, 2022
  • Individual RAUM · $28.8M to $32.2M
    Mar 19, 2021 to Mar 23, 2022
  • RAUM · $170M to $193M
    Mar 19, 2021 to Mar 23, 2022
  • Accounts · 351 to 401
    Jun 29, 2020 to Mar 19, 2021
  • HNW clients · 65 to 50
    Jun 29, 2020 to Mar 19, 2021
  • Individual clients · 98 to 126
    Jun 29, 2020 to Mar 19, 2021
  • Discretionary RAUM · $160M to $170M
    Jun 29, 2020 to Mar 19, 2021
  • HNW RAUM · $149M to $141M
    Jun 29, 2020 to Mar 19, 2021
  • Individual RAUM · $11.7M to $28.8M
    Jun 29, 2020 to Mar 19, 2021
  • RAUM · $160M to $170M
    Jun 29, 2020 to Mar 19, 2021
Signals
4 dated events
  • K••••• D•••• A••••••• left P••••• A••••••• G••••• L•• for N••••••• A•••••••• L•• (registered 2024-02-14)
    Mar 29, 2024 · Advisor changed firm · fact
  • C••• W•••••• P••••• left P••••• A••••••• G••••• L•• for E• W••••• A••••••• (registered 2024-02-15)
    Mar 29, 2024 · Advisor changed firm · fact
  • P••••• A••••••• G••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 21, 2022 · Succession (Item 4) · fact
  • P••••• A••••••• G••••• I•• filed its initial SEC registration (Form ADV)
    Jun 29, 2017 · 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