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••••• F•••••••• S•••••••• L••

Former SEC-registered adviserDeer Park, IllinoisCRD 153132SEC 801-81192website IAPD

Latest filing Apr 21, 2025

First filing on the tape Mar 19, 2015 · 42 filings

SEC status approved since Apr 1, 2015

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

42 filings and snapshots on the tape

RAUM$0 as of Apr 21, 2025

Mar 11, 2016$623M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Apr 21, 2025

Mar 11, 20165 then

Employees (5.A)8 as of Apr 21, 2025

Mar 11, 20165 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 4 to 0

Practice profile

derived from the filing of Apr 21, 2025; 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: pension consulting, educational seminars, 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

is a broker-dealer (6.A.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: 79reported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: n/areported
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

N•••• D••••• W••••• to I•• W••••• M••••••••• L••
Apr 9, 2025 · Other
K•••• R•••••• H••••• to I•• W••••• M••••••••• L••
Apr 9, 2025 · Other
P••••• D• A••••• to I•• W••••• M••••••••• L••
Apr 9, 2025 · Other
A•••••• L••••••• L•••••••• to G•••••••• F•••••••• A•••••••• L••
May 31, 2024 · Other
K••••••• M•••• O•••••• to L•• F•••••••• L••
Aug 22, 2016 · Other
M•••••• K•••• S•••• to C••••••••• F•••••••• N••••••
Sep 17, 2014 · Other
L••••••• A• T••••••• to C••••••••• F•••••••• N••••••
Mar 25, 2014 · Other

Joined, latest

N•••• D••••• W••••• from S••••••• I••••••••• A•••••••• I•••
Feb 22, 2021 · Other
P••••• D• A••••• from R•••••• J•••• • A••••••••• I•••
Oct 11, 2016 · Other
L••••••• A• T••••••• from J• W• C••• A•••••••• I•••
Dec 3, 2010 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for I•• W••••• M••••••••• L••
Apr 9, 2025 · Northlake, Tx

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••••• C••••••••• M•••••• · Chief Executive Officercontrol
since 12/2016 · owns less than 5%
F••••••• W••••• R• · Managercontrol
since 01/2001 · owns 50% to 75% of P••••• H•••••••• I•••
H••••• T••• N•••••• · Chief Compliance Officer
since 02/2023 · owns less than 5%
K••••• A•••••••• J•••• · Poo
since 02/2021 · owns less than 5%
S••••••••• P•••• S••••• · Finop/Pfo/ Cfo
since 02/2021 · owns less than 5%

Entity owners

T•• P••••• G••••• L•• · Member / Manager
direct · owns 75% or more
P••••• H•••••••• I••• · Member
indirect · owns 50% to 75% of T•• P••••• G••••• L••

Related persons

Schedule D 7.A

T•• P••••• G•••••• I•••
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Dallas, Tx	0	0	0
Deer Park, Il · principal	0	0	0
Northlake, Tx	0	0	0

Offices

Schedule D 1.F, the 25 largest

Dallas, TX1 employees
Oklahoma City, OK1 employees

What changed

consecutive filings, newest first

Accounts · unset to 0.0
Nov 12, 2024 to Apr 21, 2025
BD registered reps · 8 to 4
Nov 12, 2024 to Apr 21, 2025
Charity clients · 6.0 to unset
Nov 12, 2024 to Apr 21, 2025
Pension plan clients · 76 to 79
Nov 12, 2024 to Apr 21, 2025
State-registered IARs · 4 to 0
Nov 12, 2024 to Apr 21, 2025
Discretionary RAUM · unset to 0.0
Nov 12, 2024 to Apr 21, 2025
Non-discretionary RAUM · unset to 0.0
Nov 12, 2024 to Apr 21, 2025
RAUM · unset to 0.0
Nov 12, 2024 to Apr 21, 2025
Charity clients · 5 to 6
Mar 29, 2023 to Mar 21, 2024
Advisory employees · 3 to 4
Feb 10, 2023 to Mar 29, 2023
Pension plan clients · 80 to 76
Feb 10, 2023 to Mar 29, 2023
Charity clients · 9 to 5
Mar 30, 2022 to Apr 29, 2022
Pension plan clients · 102 to 80
Mar 30, 2022 to Apr 29, 2022
Charity clients · unset to 9.0
Dec 22, 2021 to Mar 30, 2022
Pension plan clients · 91 to 102
Dec 22, 2021 to Mar 30, 2022
Other offices · 0 to 2
Dec 22, 2021 to Mar 30, 2022
Advisory employees · 4 to 3
Mar 31, 2020 to Mar 31, 2021
BD registered reps · 7 to 8
Mar 31, 2020 to Mar 31, 2021
Pension plan clients · 85 to 91
Mar 31, 2020 to Mar 31, 2021
Employees · 7 to 8
Mar 31, 2020 to Mar 31, 2021
Other offices · 1 to 0
Mar 31, 2020 to Mar 31, 2021
BD registered reps · 8 to 7
Mar 28, 2019 to Mar 31, 2020
Pension plan clients · 80 to 85
Mar 28, 2019 to Mar 31, 2020
Employees · 8 to 7
Mar 28, 2019 to Mar 31, 2020
State-registered IARs · 5 to 4
Mar 28, 2019 to Mar 31, 2020
Other offices · 2 to 1
Mar 28, 2019 to Mar 31, 2020
Related broker-dealer · false to true
Mar 28, 2019 to Mar 31, 2020
BD registered reps · 9 to 8
Sep 19, 2018 to Mar 28, 2019
Pension plan clients · 85 to 80
Sep 19, 2018 to Mar 28, 2019
Employees · 9 to 8
Sep 19, 2018 to Mar 28, 2019
State-registered IARs · 3 to 5
Sep 19, 2018 to Mar 28, 2019
Advisory employees · 2 to 4
Mar 7, 2017 to Mar 29, 2018
BD registered reps · 7 to 9
Mar 7, 2017 to Mar 29, 2018
Pension plan clients · unset to 85.0
Mar 7, 2017 to Mar 29, 2018
Employees · 7 to 9
Mar 7, 2017 to Mar 29, 2018
Other offices · unset to 2.0
Mar 7, 2017 to Mar 29, 2018
BD registered reps · 5 to 7
Jan 4, 2017 to Mar 7, 2017
Employees · 5 to 7
Jan 4, 2017 to Mar 7, 2017
State-registered IARs · 5 to 3
Jan 4, 2017 to Mar 7, 2017
Accounts · 53.0 to unset
Dec 5, 2016 to Dec 8, 2016

Signals

9 dated events

P••••• F•••••••• S•••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02)
Jun 2, 2025 · Left the SEC roster · derived
K•••• R•••••• H••••• left P••••• F•••••••• S•••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-04-08)
Apr 9, 2025 · Advisor changed firm · fact
P••••• D• A••••• left P••••• F•••••••• S•••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-04-08)
Apr 9, 2025 · Advisor changed firm · fact
N•••• D••••• W••••• left P••••• F•••••••• S•••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-04-08)
Apr 9, 2025 · Advisor changed firm · fact
2 advisors left P••••• F•••••••• S•••••••• L•• (Northlake, TX) for I•• W••••• M••••••••• L•• on the same day
Apr 9, 2025 · Team lift-out · derived
Allison Lorraine Winge (Practice Leader) no longer on Schedule A of P••••• F•••••••• S•••••••• L•• (listed 2024-03-21, absent 2024-11-12)
Nov 12, 2024 · Control person left · inference
A•••••• L••••••• L•••••••• left P••••• F•••••••• S•••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2024-12-16)
May 31, 2024 · Advisor changed firm · fact
Thad Andrew Jurczak (Financial Operations Principal) no longer on Schedule A of P••••• F•••••••• S•••••••• L•• (listed 2020-03-31, absent 2021-03-31)
Mar 31, 2021 · Control person left · inference
P••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Mar 19, 2015 · 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