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.
SEC-registered adviser
Pactolus
Legal name Pactolus Private Wealth Management LLC
Latest filing Sep 4, 2026
First filing on the tape Jan 30, 2012 · 67 filings
SEC status approved since Oct 22, 2010
RAUM
$188M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
62%
$116M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$37.6M
derived; firm RAUM over IAPD count
Employees
17
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
67 filings and snapshots on the tape
RAUM$188M as of Aug 5, 2026
Mar 20, 2012$227M then
HNW client RAUM$116M as of Aug 5, 2026
Mar 30, 2018$204M then
State-registered IARs (5.B.3)4 as of Aug 5, 2026
Mar 20, 20120 then
Employees (5.A)17 as of Aug 5, 2026
Feb 21, 20135 then
Private funds5 as of Aug 5, 2026
Feb 21, 20131 then
RAUM +2.9% over the last fiscal year+1.4% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $383,487derivedHNW RAUM over HNW clients
- Average account
- $420,231derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Wrap fee program
- $116MreportedItem 5.I
- Custody
- $223M, 145 clientsreportedItem 9.A
- 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$116M62%
- Pooled investment vehicles$72.0M38%
- Individual clients
- n/areported
- HNW clients
- 302reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 447reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $223M for 145 clientsreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.62 fund_share=0.38 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Alan Mitchell Harter | Vienna, Va | Jan 28, 2011 | 34 y | 4 |
| Narges ZamaniChartered Financial Analyst | Vienna, Va | Nov 11, 2014 | 12 y | 0 |
| David Gerald ChandikChartered Financial Analyst | Vienna, Va | Aug 30, 2021 | 14 y | 0 |
| Cierra Michelle Telleen | Vienna, Va | Feb 24, 2026 | 10 y | 0 |
| Jacob Evans Hampton | Vienna, Va | Apr 21, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- David Scott Parish to LPL Financial LLCJan 2, 2026 · RIA to affiliated broker-dealer or bank
- Gery Joseph Sadzewicz to Avocet Capital Management LLCFeb 22, 2021 · RIA to RIA
- Steven Kenneth Umstead to Usaa Financial Planning ServicesSep 3, 2013 · Other
Joined, latest
- Gery Joseph Sadzewicz from Fusion Capital, LLCJan 29, 2011 · Other
- Steven Kenneth Umstead from Morgan StanleyJan 28, 2011 · Other
- Alan Mitchell Harter from Morgan StanleyJan 28, 2011 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Pactolus/Cranemere Series Of The Pactolus Series Fund LLC | Private Equity Fund | $44.3M | 22 | May 12, 2014 |
| Pactolus Series Fund, LLC / G4 Capitol Partner Seriesno longer reported | Other Private Fund | $23.4M | 28 | Jul 24, 2013 |
| Pactolus / G4 Capital Partners Fund III Series Of The Pactolus Series Fund, LLC | Other Private Fund | $22.6M | 49 | Mar 30, 2018 |
| Pactolus/Swan Legend Fund 3 Series Of The Pactolus Series Fund, LLC | Private Equity Fund | $13.0M | 13 | May 15, 2015 |
| Pactolus East Village LLCno longer reported | Private Equity Fund | $10.5M | 25 | Mar 15, 2016 |
| Pactolus Hamilton Lakes | Private Equity Fund | $10.4M | 38 | Aug 3, 2016 |
| Pactolus/Waterview Series Of The Pactolus Series Fund, LLCno longer reported | Private Equity Fund | $9.8M | 5 | May 15, 2015 |
| Pactolus/U.S. Farming Realty Series Of The Pactolus Series Fund LLC | Other Private Fund | $5.6M | 19 | Dec 5, 2012 |
| Pactolus Kilroy Mezz LLCno longer reported | Private Equity Fund | $2.7M | 6 | Mar 15, 2016 |
| Pactolus Kilroy LLC | Private Equity Fund | $970,000 | 6 | Mar 15, 2016 |
| Pactolus Pob Hilltopper LLCno longer reported | Private Equity Fund | $436,275 | 2 | Mar 15, 2016 |
| Pactolus Elm Street Investments, LLCno longer reported | Private Equity Fund | $100,000 | 1 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Mitchell Alan Harter · Chief Executive Officercontrolsince 01/2011 · owns less than 5%
- Mitchell Alan Harter · Membercontrolsince 12/2015 · owns 75% or more of A Cube, LLC
- Joseph Gery Sadzewicz · Chief Compliance Officersince 09/2010 · owns less than 5%
Entity owners
- Pactolus Holdings LLC · Sole Memberdirect · owns 75% or more
- A Cube, LLC · Memberindirect · owns 25% to 50% of Pactolus Holdings LLC
Related persons
Schedule D 7.A
- Pactolus Securities, LLCbroker-dealerpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Vienna, Va · principal | 5 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Sep 4, 2026employees per registered advisor of 3.4 against a peer median of 1.2 (1313 comparable advisers, 98.0th percentile, 7.4 robust deviations)peers: independent wealth managers, $100M to $500M (1,313) · 98% percentile
- advisor count dropChange between filings · filing Mar 10, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-28 and 2026-03-10; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Aug 5, 2026 to Sep 4, 2026
- Private funds · 5 to unsetAug 5, 2026 to Sep 4, 2026
- Succession · false to unsetAug 5, 2026 to Sep 4, 2026
- Accounts · 315 to 447Sep 9, 2025 to Mar 10, 2026
- HNW clients · 206 to 302Sep 9, 2025 to Mar 10, 2026
- Assets in custody · $392M to $223MSep 9, 2025 to Mar 10, 2026
- Employees · 15 to 17Sep 9, 2025 to Mar 10, 2026
- State-registered IARs · 6 to 4Sep 9, 2025 to Mar 10, 2026
- Private funds · 4 to 5Sep 9, 2025 to Mar 10, 2026
- Discretionary RAUM · $110M to $117MSep 9, 2025 to Mar 10, 2026
- HNW RAUM · $109M to $116MSep 9, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $72.4M to $71.1MSep 9, 2025 to Mar 10, 2026
- Pooled vehicle RAUM · $73.3M to $72.0MSep 9, 2025 to Mar 10, 2026
- RAUM · $183M to $188MSep 9, 2025 to Mar 10, 2026
- Financial planning clients · 51-100 to 51-100Mar 28, 2025 to Jul 23, 2025
- Accounts · 375 to 315Sep 3, 2024 to Mar 28, 2025
- BD registered reps · 6 to 4Sep 3, 2024 to Mar 28, 2025
- HNW clients · 272 to 206Sep 3, 2024 to Mar 28, 2025
- Assets in custody · $375M to $392MSep 3, 2024 to Mar 28, 2025
- Employees · 13 to 15Sep 3, 2024 to Mar 28, 2025
- Private funds · 5 to 4Sep 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $100M to $110MSep 3, 2024 to Mar 28, 2025
- HNW RAUM · $99.4M to $109MSep 3, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $85.5M to $72.4MSep 3, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $86.5M to $73.3MSep 3, 2024 to Mar 28, 2025
- RAUM · $186M to $183MSep 3, 2024 to Mar 28, 2025
- Accounts · 368 to 375Jan 4, 2024 to Mar 11, 2024
- BD registered reps · 5 to 6Jan 4, 2024 to Mar 11, 2024
- HNW clients · 265 to 272Jan 4, 2024 to Mar 11, 2024
- Assets in custody · $124M to $375MJan 4, 2024 to Mar 11, 2024
- Employees · 14 to 13Jan 4, 2024 to Mar 11, 2024
- State-registered IARs · 2 to 6Jan 4, 2024 to Mar 11, 2024
- Private funds · 6 to 5Jan 4, 2024 to Mar 11, 2024
- Discretionary RAUM · $84.8M to $100MJan 4, 2024 to Mar 11, 2024
- HNW RAUM · $83.9M to $99.4MJan 4, 2024 to Mar 11, 2024
- Non-discretionary RAUM · $95.5M to $85.5MJan 4, 2024 to Mar 11, 2024
- Pooled vehicle RAUM · $96.3M to $86.5MJan 4, 2024 to Mar 11, 2024
- RAUM · $180M to $186MJan 4, 2024 to Mar 11, 2024
- Accounts · 341 to 368Nov 30, 2022 to Mar 15, 2023
- Advisory activities · 5 to 4Nov 30, 2022 to Mar 15, 2023
Signals
1 dated events
- David Scott Parish left Pactolus for Lpl Financial Llc (registered 2026-05-19)Jan 2, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Business phone
- 571-297-6364reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pactolus-private-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pactolus.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 571-297-6364reportedpublic record, Form ADV, Sep 4, 2026
- Contact form
- pactolus.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pactolus.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $37.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Pactolus is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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