DFX Intelligence
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SEC-registered adviser
P•••••• C••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Jan 9, 2013 · 39 filings
SEC status approved since Jan 25, 2013
RAUM
$496M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
46%
$228M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$496M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$496M as of Jan 20, 2026
Feb 10, 2014$175M then
HNW client RAUM$228M as of Jan 20, 2026
Jan 15, 2018$144M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Feb 10, 20144 then
Employees (5.A)2 as of Jan 20, 2026
Feb 10, 20144 then
Private funds: no history
RAUM +17% over the last fiscal year+3.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $496MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $38.0MderivedHNW RAUM over HNW clients
- Average account
- $24.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $185M, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$268M54%
- High-net-worth individuals$228M46%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.46 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• B•••• L••••••Chartered Financial Analyst | Reno, Nv | Feb 28, 2012 | 31 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J•••••••• P•••••• · Managing Membercontrolsince 01/2014 · owns 10% to 25%
- L••••••• K••••••• B•••• · Managing Member & Chief Compliance Officercontrolsince 02/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 20Jan 21, 2025 to Jan 20, 2026
- HNW clients · 5 to 6Jan 21, 2025 to Jan 20, 2026
- Assets in custody · $144M to $185MJan 21, 2025 to Jan 20, 2026
- Discretionary RAUM · $424M to $496MJan 21, 2025 to Jan 20, 2026
- HNW RAUM · $171M to $228MJan 21, 2025 to Jan 20, 2026
- RAUM · $424M to $496MJan 21, 2025 to Jan 20, 2026
- Accounts · 23 to 19Feb 12, 2024 to Jan 21, 2025
- HNW clients · 6 to 5Feb 12, 2024 to Jan 21, 2025
- Assets in custody · $133M to $144MFeb 12, 2024 to Jan 21, 2025
- Financial planning clients · unset to Feb 12, 2024 to Jan 21, 2025
- HQ city · unset to Feb 12, 2024 to Jan 21, 2025
- HQ state · unset to Feb 12, 2024 to Jan 21, 2025
- Discretionary RAUM · $422M to $424MFeb 12, 2024 to Jan 21, 2025
- HNW RAUM · $179M to $171MFeb 12, 2024 to Jan 21, 2025
- RAUM · $422M to $424MFeb 12, 2024 to Jan 21, 2025
- Accounts · 33 to 23Jan 17, 2023 to Jan 10, 2024
- Advisory employees · 2 to 1Jan 17, 2023 to Jan 10, 2024
- Advisory activities · 4 to 3Jan 17, 2023 to Jan 10, 2024
- Corporate clients · 6 to 5Jan 17, 2023 to Jan 10, 2024
- HNW clients · 8 to 6Jan 17, 2023 to Jan 10, 2024
- Assets in custody · $72.1M to $133MJan 17, 2023 to Jan 10, 2024
- Financial planning clients · 0 to unsetJan 17, 2023 to Jan 10, 2024
- State-registered IARs · 2 to 1Jan 17, 2023 to Jan 10, 2024
- Discretionary RAUM · $444M to $422MJan 17, 2023 to Jan 10, 2024
- HNW RAUM · $215M to $179MJan 17, 2023 to Jan 10, 2024
- RAUM · $444M to $422MJan 17, 2023 to Jan 10, 2024
- Accounts · 77 to 33Feb 3, 2022 to Jan 17, 2023
- HNW clients · 21 to 8Feb 3, 2022 to Jan 17, 2023
- Assets in custody · $210M to $72.1MFeb 3, 2022 to Jan 17, 2023
- Discretionary RAUM · $569M to $444MFeb 3, 2022 to Jan 17, 2023
- HNW RAUM · $314M to $215MFeb 3, 2022 to Jan 17, 2023
- RAUM · $569M to $444MFeb 3, 2022 to Jan 17, 2023
- Corporate clients · 8 to 6Sep 7, 2021 to Feb 3, 2022
- HNW clients · 19 to 21Sep 7, 2021 to Feb 3, 2022
- Assets in custody · $159M to $210MSep 7, 2021 to Feb 3, 2022
- Discretionary RAUM · $538M to $569MSep 7, 2021 to Feb 3, 2022
- HNW RAUM · $292M to $314MSep 7, 2021 to Feb 3, 2022
- RAUM · $538M to $569MSep 7, 2021 to Feb 3, 2022
- Accounts · 116 to 77Jun 30, 2020 to Feb 3, 2021
- Corporate clients · 7 to 8Jun 30, 2020 to Feb 3, 2021
Signals
3 dated events
- P•••••• C••••••• L•• reported RAUM $538.0M, up 54% from $350.0M (2020-06-30 to 2021-02-03)Feb 3, 2021 · RAUM change · derived
- P•••••• C••••••• L•• reported RAUM $350.0M, down 34% from $528.0M (2019-11-22 to 2020-01-20)Jan 20, 2020 · RAUM change · derived
- P•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 9, 2013 · 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
- 775-337-3900reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- P••••••CAPITAL.COMreportedpublic record, Form ADV, Jan 20, 2026
- Principal office phone
- (775) 337-3900reportedpublic record, Form ADV, Jan 20, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $496Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026