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•••••• C•••••• A•••••••••
Legal name P•••••• C•••••• A••••••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Dec 6, 2017 · 18 filings
SEC status approved since Jan 5, 2018
RAUM
$259M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$255M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.3M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$259M as of Apr 20, 2026
Jan 9, 2018$110M then
HNW client RAUM$148M as of Apr 20, 2026
Jan 9, 2018$56.3M then
State-registered IARs (5.B.3)3 as of Apr 20, 2026
Jan 9, 20184 then
Employees (5.A)6 as of Apr 20, 2026
Jan 9, 20185 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 166derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $359,712derivedHNW RAUM over HNW clients
- Average account
- $239,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $95.1M, 260 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M57%
- Individuals$107M41%
- Corporations and businesses$2.4M0.9%
- Pension and profit-sharing plans$1.4M0.5%
- Individual clients
- 86reported
- HNW clients
- 411reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,082reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.1M for 260 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••••• S••••Certified Financial Planner | San Diego, Ca | Mar 15, 2012 | 26 y | 4 |
| K•••• B•••• S••••Certified Financial Planner | San Diego, Ca | Mar 15, 2012 | 35 y | 1 |
| R•••••• E•••••• T•••••• | San Diego, Ca | Mar 12, 2013 | 20 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
none on the tape
Joined, latest
- R•••••• E•••••• T•••••• from G••••• S••••••••• I•••Mar 12, 2013 · Other
- J••• M•••••• S•••• from A••••••• M•••• M••••••••• L••Mar 15, 2012 · Other
- K•••• B•••• S•••• from C••••••• C•••••• M••••••••• I•••Mar 15, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J•••• M•••••• · Presidentcontrolsince 09/2017 · owns 50% to 75%
- T••••••• R••••••• E•••••• · Chief Compliance Officer & Vice Presidentcontrolsince 09/2017 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,081 to 1,082Oct 30, 2025 to Feb 5, 2026
- HNW clients · 87 to 411Oct 30, 2025 to Feb 5, 2026
- Individual clients · 412 to 86Oct 30, 2025 to Feb 5, 2026
- Assets in custody · $83.5M to $95.1MOct 30, 2025 to Feb 5, 2026
- Discretionary RAUM · $221M to $259MOct 30, 2025 to Feb 5, 2026
- HNW RAUM · $128M to $148MOct 30, 2025 to Feb 5, 2026
- Individual RAUM · $88.8M to $107MOct 30, 2025 to Feb 5, 2026
- Pension RAUM · $1.3M to $1.4MOct 30, 2025 to Feb 5, 2026
- RAUM · $221M to $259MOct 30, 2025 to Feb 5, 2026
- Advisory activities · 4 to 5Feb 4, 2025 to Oct 30, 2025
- Financial planning clients · 0 to 0Feb 4, 2025 to Oct 30, 2025
- Accounts · 1,156 to 1,081May 14, 2024 to Feb 4, 2025
- Corporate clients · 4.0 to unsetMay 14, 2024 to Feb 4, 2025
- HNW clients · 69 to 87May 14, 2024 to Feb 4, 2025
- Individual clients · 603 to 412May 14, 2024 to Feb 4, 2025
- Pension plan clients · 4.0 to unsetMay 14, 2024 to Feb 4, 2025
- Assets in custody · $65.8M to $83.5MMay 14, 2024 to Feb 4, 2025
- Discretionary RAUM · $228M to $221MMay 14, 2024 to Feb 4, 2025
- HNW RAUM · $102M to $128MMay 14, 2024 to Feb 4, 2025
- Individual RAUM · $120M to $88.8MMay 14, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $371,170 to $0May 14, 2024 to Feb 4, 2025
- Pension RAUM · $3.3M to $1.3MMay 14, 2024 to Feb 4, 2025
- RAUM · $228M to $221MMay 14, 2024 to Feb 4, 2025
- Accounts · 1,213 to 1,156Sep 15, 2023 to Feb 8, 2024
- Corporate clients · 1 to 4Sep 15, 2023 to Feb 8, 2024
- HNW clients · 51 to 69Sep 15, 2023 to Feb 8, 2024
- Individual clients · 625 to 603Sep 15, 2023 to Feb 8, 2024
- Pension plan clients · 2 to 4Sep 15, 2023 to Feb 8, 2024
- Assets in custody · $30.8M to $65.8MSep 15, 2023 to Feb 8, 2024
- Financial planning clients · 1-10 to 0Sep 15, 2023 to Feb 8, 2024
- Discretionary RAUM · $186M to $228MSep 15, 2023 to Feb 8, 2024
- HNW RAUM · $69.5M to $102MSep 15, 2023 to Feb 8, 2024
- Individual RAUM · $111M to $120MSep 15, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $2.6M to $371,170Sep 15, 2023 to Feb 8, 2024
- Pension RAUM · $1.0M to $3.3MSep 15, 2023 to Feb 8, 2024
- RAUM · $188M to $228MSep 15, 2023 to Feb 8, 2024
- Accounts · 1,233 to 1,213Feb 24, 2022 to Feb 13, 2023
- Advisory employees · 4 to 3Feb 24, 2022 to Feb 13, 2023
- Corporate clients · unset to 1.0Feb 24, 2022 to Feb 13, 2023
- HNW clients · 64 to 51Feb 24, 2022 to Feb 13, 2023
Signals
1 dated events
- P•••••• C•••••• A••••••••• I••• filed its initial SEC registration (Form ADV)Dec 6, 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
- Firm profile
- link.edgepilot.com/s/a3b4655d/GLllObS-oku4nkA6GnkitA?u=httpsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.PCASD.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-560-5244reportedpublic record, Form ADV, Apr 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $86.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026