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•••••• I••••••••• A••••••• L••
Legal name P••• L••
Latest filing Jul 23, 2026
First filing on the tape Mar 25, 2024 · 9 filings
SEC status approved since Apr 25, 2024
RAUM
$161M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$80.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$161M as of Jul 23, 2026
Feb 13, 2025$121M then
HNW client RAUM$148M as of Jul 23, 2026
Feb 13, 2025$101M then
State-registered IARs (5.B.3)2 as of Jul 23, 2026
Feb 13, 20251 then
Employees (5.A)2 as of Jul 23, 2026
Feb 13, 20251 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 1 to 2offices 0 to 1
Practice profile
derived from the filing of Jul 23, 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
- RAUM per advisor
- $80.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $568,514derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M91%
- Corporations and businesses$9.0M5.6%
- Individuals$4.5M2.8%
- Charitable organizations$335,3270.2%
- Individual clients
- 19reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 284reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 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 |
|---|---|---|---|---|
| P•••••• D••••••••• S•••• | Las Vegas, Nv | Jan 5, 2013 | 28 y | 3 |
| R•••• T••• | Las Vegas, Nv | Jul 7, 2026 | 13 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
- P•••••• D••••••••• S•••• from T•• S•••••••• F•••••••• A•••••••Jan 5, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• P••••••• D••••••••• · President And Chief Compliance Officercontrolsince 04/2012 · 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 |
|---|---|---|---|---|---|
| Las Vegas, Nv | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2May 4, 2026 to Jul 23, 2026
- Employees · 1 to 2May 4, 2026 to Jul 23, 2026
- State-registered IARs · 1 to 2May 4, 2026 to Jul 23, 2026
- Other offices · 0 to 1May 4, 2026 to Jul 23, 2026
- Accounts · 275 to 284Jul 17, 2025 to Mar 18, 2026
- Corporate clients · unset to 5.0Jul 17, 2025 to Mar 18, 2026
- HNW clients · 58 to 61Jul 17, 2025 to Mar 18, 2026
- Individual clients · 20 to 19Jul 17, 2025 to Mar 18, 2026
- Pension plan clients · 8.0 to unsetJul 17, 2025 to Mar 18, 2026
- Discretionary RAUM · $130M to $161MJul 17, 2025 to Mar 18, 2026
- HNW RAUM · $114M to $148MJul 17, 2025 to Mar 18, 2026
- Individual RAUM · $3.6M to $4.5MJul 17, 2025 to Mar 18, 2026
- Pension RAUM · 12963964.0 to unsetJul 17, 2025 to Mar 18, 2026
- RAUM · $130M to $161MJul 17, 2025 to Mar 18, 2026
- Succession · true to falseJul 17, 2025 to Mar 18, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to Jul 17, 2025
- Legal name · P•••••• I••••••••• A••••••• L•• to P••• L••Mar 21, 2025 to Jul 17, 2025
- Succession · false to trueMar 21, 2025 to Jul 17, 2025
- Accounts · 326 to 275Feb 13, 2025 to Mar 21, 2025
- HNW clients · 64 to 58Feb 13, 2025 to Mar 21, 2025
- Individual clients · 34 to 20Feb 13, 2025 to Mar 21, 2025
- Pension plan clients · 6 to 8Feb 13, 2025 to Mar 21, 2025
- Other offices · 1 to 0Feb 13, 2025 to Mar 21, 2025
- Discretionary RAUM · $113M to $130MFeb 13, 2025 to Mar 21, 2025
- HNW RAUM · $101M to $114MFeb 13, 2025 to Mar 21, 2025
- Individual RAUM · $8.4M to $3.6MFeb 13, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $7.4M to $0Feb 13, 2025 to Mar 21, 2025
- Pension RAUM · $11.6M to $13.0MFeb 13, 2025 to Mar 21, 2025
- RAUM · $121M to $130MFeb 13, 2025 to Mar 21, 2025
- HQ city · unset to Nov 13, 2024 to Feb 13, 2025
- HQ state · unset to Nov 13, 2024 to Feb 13, 2025
Signals
2 dated events
- P•••••• I••••••••• A••••••• L•• reported succeeding to the business of P•••••• I••••••••• A••••••• L•• (Form ADV Item 4)Jul 17, 2025 · Succession (Item 4) · fact
- P•••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 25, 2024 · 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
- Principal office phone
- (978) 273-9747reportedpublic record, Form ADV, Jul 23, 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
- $80.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026