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•• W••••• S•••••••• L••
Latest filing Jul 10, 2024
First filing on the tape Feb 10, 2022 · 10 filings
RAUM
$83.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$83.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$83.1M
derived; firm RAUM over IAPD count
Employees
1
1 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$83.1M as of Feb 23, 2024
Feb 8, 2023$91.7M then
HNW client RAUM$75.9M as of Feb 23, 2024
Feb 8, 2023$85.2M then
State-registered IARs (5.B.3)1 as of Feb 23, 2024
Feb 8, 20231 then
Employees (5.A)1 as of Feb 23, 2024
Feb 8, 20231 then
Private funds: no history
RAUM -9.4% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 10, 2024; every figure names its basis
- RAUM per advisor
- $83.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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
- High-net-worth individuals$75.9M91%
- Individuals$7.2M8.7%
- Individual clients
- 22reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• R•••••• P•••••••Certified Financial Planner, Chartered Financial Consultant | Burbank, Ca | Sep 12, 2025 | 17 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• T•••• R•••••• · Cco & Owner/Managing Membercontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4May 28, 2024 to Jun 18, 2024
- Financial planning clients · 0 to 26-50May 28, 2024 to Jun 18, 2024
- Discretionary RAUM · $7.2M to $83.1MMay 28, 2024 to Jun 18, 2024
- Non-discretionary RAUM · $75.9M to $0May 28, 2024 to Jun 18, 2024
- Accounts · 90 to 49Feb 8, 2023 to Feb 23, 2024
- HNW clients · 36 to 27Feb 8, 2023 to Feb 23, 2024
- Individual clients · 21 to 22Feb 8, 2023 to Feb 23, 2024
- Discretionary RAUM · $91.7M to $7.2MFeb 8, 2023 to Feb 23, 2024
- HNW RAUM · $85.2M to $75.9MFeb 8, 2023 to Feb 23, 2024
- Individual RAUM · $6.6M to $7.2MFeb 8, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $0 to $75.9MFeb 8, 2023 to Feb 23, 2024
- RAUM · $91.7M to $83.1MFeb 8, 2023 to Feb 23, 2024
- Accounts · 55 to 90Sep 12, 2022 to Feb 8, 2023
- HNW clients · 35 to 36Sep 12, 2022 to Feb 8, 2023
- Individual clients · 20 to 21Sep 12, 2022 to Feb 8, 2023
- Discretionary RAUM · $110M to $91.7MSep 12, 2022 to Feb 8, 2023
- HNW RAUM · $105M to $85.2MSep 12, 2022 to Feb 8, 2023
- Individual RAUM · $5.5M to $6.6MSep 12, 2022 to Feb 8, 2023
- RAUM · $110M to $91.7MSep 12, 2022 to Feb 8, 2023
Signals
1 dated events
- P•• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- PGPWEALTHSERVICES.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $83.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026