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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SEC-registered adviser
P•••••• F•••••••• P•••••••
Legal name P•••••• F•••••••• P•••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Nov 16, 2011 · 24 filings
SEC status approved since Jun 13, 2011
RAUM
$330M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
100%
$329M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$330M as of Mar 18, 2026
Apr 2, 2012$93.7M then
HNW client RAUM$318M as of Mar 18, 2026
Mar 16, 2018$154M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Apr 2, 20120 then
Employees (5.A)2 as of Mar 18, 2026
Apr 1, 20131 then
Private funds: no history
RAUM -2.1% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $642,465derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $123M, 56 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$318M97%
- Individuals$11.3M3.4%
- Corporations and businesses$207,9750.1%
- Individual clients
- 42reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 513reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 56 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• F•••• S••••••Certified Financial Planner | Woodland Hills, Ca | Jun 24, 2011 | 29 y | 3 |
| E•••• M••••• M•••••• | Woodland Hills, Ca | Jan 27, 2015 | 16 y | 2 |
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
- J••••• L• R••• to J••• M••••• S••••••••• L••Oct 16, 2018 · RIA to wirehouse
- J•••• R••••• G•••• to C••••••• P•••••••Dec 14, 2011 · Other
Joined, latest
- J••••• L• R••• from M••••• S••••••Oct 2, 2017 · Other
- E•••• M••••• M•••••• from K•••• A••••••• R•••••• I••••••••• M••••••••• L••Jan 27, 2015 · Other
- J•••• R••••• G•••• from S•••••••• A••••••• L••Dec 1, 2011 · Other
- E••• F•••• S•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 24, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• E•••• F•••• · President And Chief Compliance Officercontrolsince 05/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list P•••••• F•••••••• P••••••• as a related person
- 291067 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Woodland Hills, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 523 to 513Jan 20, 2026 to Mar 18, 2026
- HNW clients · 79 to 85Jan 20, 2026 to Mar 18, 2026
- Individual clients · 39 to 42Jan 20, 2026 to Mar 18, 2026
- Assets in custody · $104M to $123MJan 20, 2026 to Mar 18, 2026
- Financial planning clients · 1-10 to 0Jan 20, 2026 to Mar 18, 2026
- Discretionary RAUM · $228M to $267MJan 20, 2026 to Mar 18, 2026
- HNW RAUM · $327M to $318MJan 20, 2026 to Mar 18, 2026
- Individual RAUM · $9.4M to $11.3MJan 20, 2026 to Mar 18, 2026
- Non-discretionary RAUM · $109M to $62.5MJan 20, 2026 to Mar 18, 2026
- RAUM · $337M to $330MJan 20, 2026 to Mar 18, 2026
- Advisory activities · 3 to 4Feb 28, 2025 to Dec 2, 2025
- Accounts · 528 to 523Mar 20, 2024 to Feb 28, 2025
- HNW clients · 100 to 79Mar 20, 2024 to Feb 28, 2025
- Assets in custody · $90.4M to $104MMar 20, 2024 to Feb 28, 2025
- Financial planning clients · 0 to 1-10Mar 20, 2024 to Feb 28, 2025
- Discretionary RAUM · $189M to $228MMar 20, 2024 to Feb 28, 2025
- HNW RAUM · $272M to $327MMar 20, 2024 to Feb 28, 2025
- Individual RAUM · $8.8M to $9.4MMar 20, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $92.1M to $109MMar 20, 2024 to Feb 28, 2025
- RAUM · $281M to $337MMar 20, 2024 to Feb 28, 2025
- Accounts · 519 to 528Mar 22, 2023 to Mar 20, 2024
- HNW clients · 101 to 100Mar 22, 2023 to Mar 20, 2024
- Individual clients · 36 to 39Mar 22, 2023 to Mar 20, 2024
- Assets in custody · $166M to $90.4MMar 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $165M to $189MMar 22, 2023 to Mar 20, 2024
- HNW RAUM · $240M to $272MMar 22, 2023 to Mar 20, 2024
- Individual RAUM · $6.3M to $8.8MMar 22, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $81.6M to $92.1MMar 22, 2023 to Mar 20, 2024
- RAUM · $247M to $281MMar 22, 2023 to Mar 20, 2024
- Accounts · 479 to 519Mar 17, 2022 to Mar 22, 2023
- HNW clients · 94 to 101Mar 17, 2022 to Mar 22, 2023
- Individual clients · 35 to 36Mar 17, 2022 to Mar 22, 2023
- Assets in custody · $156M to $166MMar 17, 2022 to Mar 22, 2023
- Discretionary RAUM · $171M to $165MMar 17, 2022 to Mar 22, 2023
- HNW RAUM · $257M to $240MMar 17, 2022 to Mar 22, 2023
- Individual RAUM · $6.7M to $6.3MMar 17, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $93.0M to $81.6MMar 17, 2022 to Mar 22, 2023
- RAUM · $264M to $247MMar 17, 2022 to Mar 22, 2023
- Accounts · 443 to 479Mar 20, 2021 to Mar 17, 2022
- HNW clients · 90 to 94Mar 20, 2021 to Mar 17, 2022
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.
How to reach
public business contact points only, each with its source
- Business phone
- 310-557-1515reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P••••••-FINANCIAL-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-557-1515reportedpublic record, Form ADV, Mar 18, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026