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•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Jun 29, 2017 · 41 filings
SEC status approved since Jul 31, 2017
RAUM
$483M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$469M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$60.4M
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$483M as of Jun 11, 2026
Mar 26, 2018$232M then
HNW client RAUM$429M as of Jun 11, 2026
Mar 26, 2018$202M then
State-registered IARs (5.B.3)6 as of Jun 11, 2026
Mar 26, 20185 then
Employees (5.A)14 as of Jun 11, 2026
Mar 26, 20188 then
Private funds: no history
RAUM +3.7% over the last fiscal year+13% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Sep 15, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $60.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.3MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $476MreportedItem 5.I
- Custody
- $920,798, 2 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$429M89%
- Individuals$40.5M8.4%
- Charitable organizations$14.2M2.9%
- Corporations and businesses$11,4250.0%
- Individual clients
- 110reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 325reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $920,798 for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• L•• D•••••••Certified Financial Planner | Covington, La | Sep 28, 2011 | 26 y | 1 |
| C••• W•••• D•••• | Covington, La | Jul 17, 2014 | 14 y | 1 |
| S••••• E• T•••••• | Covington, La | Oct 22, 2014 | 18 y | 1 |
| D••••••• R•••• W••••••• | Covington, La | Feb 28, 2021 | 12 y | 1 |
| M•••••• B•••••• S••••••• | Covington, La | Apr 2, 2025 | 11 y | 0 |
| C•••• W•••••••• K•••• | Covington, La | May 19, 2025 | 11 y | 0 |
| C••••• A•••• R••• | Covington, La | Jun 5, 2026 | 12 y | 0 |
| M••••• D••• B•••• | Covington, La | Sep 14, 2026 | 21 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 13% of current headcount2 left over 36 months
Left, latest
- K••••••• B•••• S•••••• to A••••• O•• W•••••• L••Dec 31, 2025 · RIA to a state-registered adviser
- D••••• P• T••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 19, 2024 · RIA to affiliated broker-dealer or bank
- W•••••• A••••• S••••• to I•••••• A•••••••• L••Aug 8, 2022 · RIA to RIA
Joined, latest
- K••••••• B•••• S•••••• from H•••••• W•••••• I••••••••• S••••••• I•••May 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- D••••••• R•••• W••••••• from K•••••• I•••Feb 28, 2021 · Other
- S••••• E• T•••••• from L•• F•••••••• L••Oct 22, 2014 · Other
- C••• W•••• D•••• from K•••••• I•••Jul 17, 2014 · Other
- E••• L•• D••••••• from L•• F•••••••• L••Sep 28, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• R••• M•••• · Chief Compliance Officer, Director Of Operationscontrolsince 11/2023 · owns less than 5%
- S••••••• K•••••••• B•••• · Chief Investment Officercontrolsince 11/2023 · owns less than 5%
- D•••••••• E•••• L•• · Managing Member, Ownercontrolsince 01/2022 · owns 75% or more of P••••••• H•••••• C•••••• L••
- D•••••••• E•••• L•• · Managing Member And Presidentsince 08/2007 · owns less than 5%
Entity owners
- P••••••• H•••••• C•••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Covington, La · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Sep 15, 2026HNW RAUM per HNW client of $14,291,657 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 8.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Jun 11, 2026 to Sep 15, 2026
- Related adviser · false to unsetJun 11, 2026 to Sep 15, 2026
- Related bank · false to unsetJun 11, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetJun 11, 2026 to Sep 15, 2026
- Related insurance company · false to unsetJun 11, 2026 to Sep 15, 2026
- Succession · false to unsetJun 11, 2026 to Sep 15, 2026
- Advisory employees · 5 to 6Mar 9, 2026 to Jun 11, 2026
- State-registered IARs · 5 to 6Mar 9, 2026 to Jun 11, 2026
- Accounts · 403 to 325Sep 12, 2025 to Mar 9, 2026
- Advisory employees · 8 to 5Sep 12, 2025 to Mar 9, 2026
- Individual clients · 105 to 110Sep 12, 2025 to Mar 9, 2026
- Assets in custody · $869,174 to $920,798Sep 12, 2025 to Mar 9, 2026
- Employees · 19 to 14Sep 12, 2025 to Mar 9, 2026
- Financial planning clients · 26-50 to 11-25Sep 12, 2025 to Mar 9, 2026
- State-registered IARs · 8 to 5Sep 12, 2025 to Mar 9, 2026
- Other offices · 4 to 2Sep 12, 2025 to Mar 9, 2026
- Discretionary RAUM · $456M to $476MSep 12, 2025 to Mar 9, 2026
- HNW RAUM · $393M to $429MSep 12, 2025 to Mar 9, 2026
- Individual RAUM · $56.7M to $40.5MSep 12, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $10.5M to $7.4MSep 12, 2025 to Mar 9, 2026
- RAUM · $466M to $483MSep 12, 2025 to Mar 9, 2026
- Other offices · 3 to 4Jul 10, 2025 to Sep 12, 2025
- Employees · 18 to 19May 7, 2025 to Jul 10, 2025
- Financial planning clients · 26-50 to 26-50May 7, 2025 to Jul 10, 2025
- State-registered IARs · 7 to 8May 7, 2025 to Jul 10, 2025
- Other offices · 2 to 3May 7, 2025 to Jul 10, 2025
- Accounts · 325 to 403Nov 5, 2024 to Jan 30, 2025
- Advisory employees · 9 to 8Nov 5, 2024 to Jan 30, 2025
- HNW clients · 38 to 30Nov 5, 2024 to Jan 30, 2025
- Individual clients · 165 to 105Nov 5, 2024 to Jan 30, 2025
- Assets in custody · $2.8M to $869,174Nov 5, 2024 to Jan 30, 2025
- Employees · 13 to 18Nov 5, 2024 to Jan 30, 2025
- State-registered IARs · 9 to 7Nov 5, 2024 to Jan 30, 2025
- Discretionary RAUM · $412M to $456MNov 5, 2024 to Jan 30, 2025
- HNW RAUM · $364M to $393MNov 5, 2024 to Jan 30, 2025
- Individual RAUM · $41.2M to $56.7MNov 5, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $7.9M to $10.5MNov 5, 2024 to Jan 30, 2025
- RAUM · $420M to $466MNov 5, 2024 to Jan 30, 2025
- Accounts · 314 to 325Nov 9, 2023 to Mar 25, 2024
- Advisory employees · 6 to 9Nov 9, 2023 to Mar 25, 2024
Signals
9 dated events
- M••••• D••• B•••• registered as an investment adviser representative at P•••••••• L••Sep 14, 2026 · Advisor registered · fact
- K••••••• B•••• S•••••• left P•••••••• L•• for A••••• O•• W•••••• L•• (registered 2026-02-24)Dec 31, 2025 · Advisor changed firm · fact
- D••••• P• T••••• left P•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-08-05)Jul 19, 2024 · Advisor changed firm · fact
- Marie Ray Fenger (Chief Compliance Officer, Director Of Operations) appeared on Schedule A of P•••••••• L••Nov 8, 2023 · Control person joined · fact
- B•••• Kristina Schuler (Chief Investment Officer) appeared on Schedule A of P•••••••• L••Nov 8, 2023 · Control person joined · fact
- W•••••• A••••• S••••• left P•••••••• L•• for I•••••• A•••••••• L•• (registered 2023-08-04)Aug 8, 2022 · Advisor changed firm · fact
- P•••••••• L•• reported RAUM $429.8M, up 40% from $306.6M (2021-10-29 to 2022-01-31)Jan 31, 2022 · RAUM change · derived
- P•••••••• L•• reported RAUM $232.3M, up 127% from $102.4M (2017-07-27 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- E• S•• T••••••• A•• D••••••• W••••• S••••••••• filed its initial SEC registration (Form ADV)Jun 29, 2017 · 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
- Business phone
- 985-727-0770reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/paradiemreportedpublic record, Form ADV, Sep 19, 2026
- Website
- paradiem.orgreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 985-727-0770reportedpublic record, Form ADV, Sep 15, 2026
- Team page
- paradiem.org/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $60.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026