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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P••••• G••••• W••••• M••••••••• L••

Former SEC-registered adviserSan Bruno, CaliforniaCRD 165532SEC 801-77254IAPD
Latest filing May 2, 2013
First filing on the tape Oct 8, 2012 · 12 filings
RAUM
$27.4M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$27.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$27.4M as of May 2, 2013
Oct 8, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 2, 2013
Oct 29, 20122 then
Employees (5.A)2 as of May 2, 2013
Oct 29, 20122 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 2, 2013; every figure names its basis
RAUM per advisor
$27.4MderivedRAUM 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
$288,421derivedRAUM over accounts (5.F.2.f)
Discretionary
91%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
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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
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
95reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D•••••• M••••••• Y••••Certified Financial PlannerDaly City, CaJan 20, 201622 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••• S••••• K•• C••••• · Chief Compliance Officer/Managing Membercontrol
    since 10/2012 · owns 50% to 75%
  • Y••••• D••••••• M••••••• · Managing Membercontrol
    since 10/2012 · owns 50% to 75%
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
  • Related insurance company · false to true
    Feb 7, 2013 to Mar 25, 2013
  • Accounts · 0 to 95
    Nov 26, 2012 to Feb 4, 2013
  • Advisory activities · 5 to 3
    Nov 26, 2012 to Feb 4, 2013
  • Discretionary RAUM · $0 to $25.0M
    Nov 26, 2012 to Feb 4, 2013
  • Non-discretionary RAUM · $0 to $2.4M
    Nov 26, 2012 to Feb 4, 2013
  • RAUM · $0 to $27.4M
    Nov 26, 2012 to Feb 4, 2013
  • Advisory employees · unset to 2.0
    Oct 26, 2012 to Oct 29, 2012
  • BD registered reps · unset to 2.0
    Oct 26, 2012 to Oct 29, 2012
  • Employees · unset to 2.0
    Oct 26, 2012 to Oct 29, 2012
  • State-registered IARs · unset to 2.0
    Oct 26, 2012 to Oct 29, 2012
Signals
1 dated events
  • P••••• G••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 8, 2012 · 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
Website
PGWM.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$27.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026