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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Former SEC-registered adviser

P••• E•••••• L••

Former SEC-registered adviserWest P••• Beach, FloridaCRD 162535SEC 801-74793IAPD
Latest filing Feb 27, 2015
First filing on the tape Mar 22, 2012 · 7 filings
RAUM
$288M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$288M as of Feb 27, 2015
Feb 25, 2013$232M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 27, 2015
Feb 25, 20130 then
Employees (5.A)4 as of Feb 27, 2015
Feb 25, 20136 then
Private funds: no history
RAUM +4.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$36.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• G••••• E•••• · Managing Membercontrol
        since 06/2008 · owns 75% or more
      • R•••••••• L•••••• H••• · Controller/Chief Compliance Officercontrol
        since 11/2012 · owns less than 5%
      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 · 6 to 8
        Mar 6, 2014 to Feb 27, 2015
      • Advisory employees · 4 to 3
        Mar 6, 2014 to Feb 27, 2015
      • Advisory activities · 2 to 3
        Mar 6, 2014 to Feb 27, 2015
      • Employees · 6 to 4
        Mar 6, 2014 to Feb 27, 2015
      • Discretionary RAUM · $276M to $288M
        Mar 6, 2014 to Feb 27, 2015
      • RAUM · $276M to $288M
        Mar 6, 2014 to Feb 27, 2015
      • Accounts · 5 to 6
        Feb 25, 2013 to Mar 6, 2014
      • Discretionary RAUM · $232M to $276M
        Feb 25, 2013 to Mar 6, 2014
      • RAUM · $232M to $276M
        Feb 25, 2013 to Mar 6, 2014
      • Accounts · 4 to 5
        Nov 20, 2012 to Feb 25, 2013
      • Advisory employees · 3 to 4
        Nov 20, 2012 to Feb 25, 2013
      • Employees · 4 to 6
        Nov 20, 2012 to Feb 25, 2013
      • Discretionary RAUM · $224M to $232M
        Nov 20, 2012 to Feb 25, 2013
      • RAUM · $224M to $232M
        Nov 20, 2012 to Feb 25, 2013
      • Advisory employees · unset to 3.0
        Aug 29, 2012 to Nov 20, 2012
      • BD registered reps · unset to 0.0
        Aug 29, 2012 to Nov 20, 2012
      • Employees · unset to 4.0
        Aug 29, 2012 to Nov 20, 2012
      • State-registered IARs · unset to 0.0
        Aug 29, 2012 to Nov 20, 2012
      • Accounts · unset to 4.0
        Mar 22, 2012 to Jun 5, 2012
      • Discretionary RAUM · unset to 224421383.0
        Mar 22, 2012 to Jun 5, 2012
      • Non-discretionary RAUM · unset to 0.0
        Mar 22, 2012 to Jun 5, 2012
      • RAUM · unset to 224421383.0
        Mar 22, 2012 to Jun 5, 2012
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026