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

Professional Planning Services

Former SEC-registered adviserHolbrook, New YorkCRD 152702SEC 801-71231IAPD
Legal name Pps Advisors, Inc.
Latest filing Jul 26, 2017
First filing on the tape Jan 20, 2012 · 21 filings
RAUM
$363M
reported, Item 5.F
Discretionary
97%
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
18
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$363M as of Mar 29, 2017
Mar 29, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 29, 2017
Apr 1, 201311 then
Employees (5.A)18 as of Mar 29, 2017
Apr 1, 201316 then
Private funds: no history
RAUM +6.7% over the last fiscal year+0.7% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Jul 26, 2017; every figure names its basis
RAUM per advisor
$22.7MderivedRAUM 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
$211,730derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
4.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+6.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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)
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
1,714reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
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
    • James Gus Catanzaro · Chief Operating Officercontrol
      since 01/2010 · owns 10% to 25%
    • Joseph David Mottes · Chief Compliance Officercontrol
      since 03/2015 · owns less than 5%
    • Nicholas Lawrence Passaretti · Chief Executive Officer, Chief Investment Officercontrol
      since 01/2010 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Jupiter, FL
    • Smithtown, NY
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 1,702 to 1,714
      Jan 19, 2017 to Mar 29, 2017
    • Employees · 22 to 18
      Jan 19, 2017 to Mar 29, 2017
    • Discretionary RAUM · $330M to $352M
      Jan 19, 2017 to Mar 29, 2017
    • Non-discretionary RAUM · $10.2M to $10.8M
      Jan 19, 2017 to Mar 29, 2017
    • RAUM · $340M to $363M
      Jan 19, 2017 to Mar 29, 2017
    • Accounts · 1,689 to 1,702
      May 20, 2015 to Mar 28, 2016
    • Advisory employees · 12 to 11
      May 20, 2015 to Mar 28, 2016
    • Employees · 23 to 22
      May 20, 2015 to Mar 28, 2016
    • Financial planning clients · 26-50 to 51-100
      May 20, 2015 to Mar 28, 2016
    • State-registered IARs · 14 to 16
      May 20, 2015 to Mar 28, 2016
    • Discretionary RAUM · $350M to $330M
      May 20, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $17.8M to $10.2M
      May 20, 2015 to Mar 28, 2016
    • RAUM · $368M to $340M
      May 20, 2015 to Mar 28, 2016
    • Accounts · 1,812 to 1,689
      Oct 31, 2014 to Mar 26, 2015
    • Advisory employees · 11 to 12
      Oct 31, 2014 to Mar 26, 2015
    • Advisory activities · 6 to 7
      Oct 31, 2014 to Mar 26, 2015
    • BD registered reps · 11 to 14
      Oct 31, 2014 to Mar 26, 2015
    • Employees · 19 to 23
      Oct 31, 2014 to Mar 26, 2015
    • Insurance-licensed employees · 1 to 2
      Oct 31, 2014 to Mar 26, 2015
    • State-registered IARs · 10 to 14
      Oct 31, 2014 to Mar 26, 2015
    • Discretionary RAUM · $298M to $350M
      Oct 31, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $57.1M to $17.8M
      Oct 31, 2014 to Mar 26, 2015
    • RAUM · $356M to $368M
      Oct 31, 2014 to Mar 26, 2015
    • Accounts · 1,799 to 1,812
      Oct 11, 2013 to Mar 24, 2014
    • Advisory activities · 5 to 6
      Oct 11, 2013 to Mar 24, 2014
    • Commission compensation · false to true
      Oct 11, 2013 to Mar 24, 2014
    • Employees · 16 to 19
      Oct 11, 2013 to Mar 24, 2014
    • State-registered IARs · 11 to 10
      Oct 11, 2013 to Mar 24, 2014
    • Discretionary RAUM · $257M to $298M
      Oct 11, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $55.7M to $57.1M
      Oct 11, 2013 to Mar 24, 2014
    • RAUM · $313M to $356M
      Oct 11, 2013 to Mar 24, 2014
    • Accounts · 1,397 to 1,799
      Apr 1, 2013 to Apr 2, 2013
    • Non-discretionary RAUM · $26.8M to $55.7M
      Apr 1, 2013 to Apr 2, 2013
    • RAUM · $284M to $313M
      Apr 1, 2013 to Apr 2, 2013
    • Accounts · 959 to 1,397
      Sep 18, 2012 to Apr 1, 2013
    • Advisory employees · unset to 11.0
      Sep 18, 2012 to Apr 1, 2013
    • BD registered reps · unset to 11.0
      Sep 18, 2012 to Apr 1, 2013
    • Employees · unset to 16.0
      Sep 18, 2012 to Apr 1, 2013
    • Insurance-licensed employees · 2 to 1
      Sep 18, 2012 to Apr 1, 2013
    • State-registered IARs · unset to 11.0
      Sep 18, 2012 to Apr 1, 2013
    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