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••• V•••• C••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 164321SEC 801-76757IAPD
Latest filing Dec 10, 2012
First filing on the tape May 29, 2012 · 3 filings
RAUM
$173M
reported, Item 5.F
Discretionary
37%
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$8.8M gross assets
History
3 filings and snapshots on the tape
RAUM$173M as of Dec 10, 2012
May 29, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3): 3
Employees (5.A): 8
Private funds1 as of Dec 10, 2012
Aug 30, 20121 then
Practice profile
derived from the filing of Dec 10, 2012; every figure names its basis
RAUM per advisor
$57.8MderivedRAUM 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
$4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
37%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$8.8M, 1 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.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
43reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$8.8M for 1 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••• V•••• F•••• L•Hedge Fund$8.8M40Apr 23, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• A••••••• R•• · Managing Member/Chief Compliance Officercontrol
      since 04/2012 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · unset to 6.0
      Aug 30, 2012 to Dec 10, 2012
    • BD registered reps · unset to 0.0
      Aug 30, 2012 to Dec 10, 2012
    • Employees · unset to 8.0
      Aug 30, 2012 to Dec 10, 2012
    • State-registered IARs · unset to 3.0
      Aug 30, 2012 to Dec 10, 2012
    • Accounts · 0 to 43
      May 29, 2012 to Aug 30, 2012
    • Advisory activities · 2 to 4
      May 29, 2012 to Aug 30, 2012
    • Assets in custody · unset to 8767648.0
      May 29, 2012 to Aug 30, 2012
    • Custody of client assets · false to true
      May 29, 2012 to Aug 30, 2012
    • Insurance-licensed employees · 1 to 3
      May 29, 2012 to Aug 30, 2012
    • Private funds · unset to 1
      May 29, 2012 to Aug 30, 2012
    • Discretionary RAUM · $0 to $63.4M
      May 29, 2012 to Aug 30, 2012
    • Non-discretionary RAUM · $0 to $110M
      May 29, 2012 to Aug 30, 2012
    • RAUM · $0 to $173M
      May 29, 2012 to Aug 30, 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