DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P•••• P•••• • C•• A•••••••

No RAUM reportedCRD 166198SEC 801-77418websiteIAPD
Legal name P•••• N••••• P••••
Latest filing Feb 23, 2026
First filing on the tape Nov 26, 2012 · 19 filings
SEC status approved since Jan 2, 2013
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Feb 23, 2026
Dec 12, 2016$0 then
HNW client RAUM$0 as of Feb 23, 2026
Nov 8, 2017$0 then
State-registered IARs (5.B.3)0 as of Feb 23, 2026
Dec 12, 20130 then
Employees (5.A)1 as of Feb 23, 2026
Dec 12, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 23, 2026; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
otherreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      • P••••• P••••• N• · Sole Proprietor; Principal; Chief Compliance Officercontrol
        since 11/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P•••• P•••• • C•• A••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Johannesburg, South Africa1 employees
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Dec 6, 2024 to Dec 9, 2025
      • Financial planning clients · 0 to 0
        Dec 6, 2024 to Dec 9, 2025
      • HQ city · unset to
        Dec 6, 2024 to Dec 9, 2025
      • HQ state · unset to
        Dec 6, 2024 to Dec 9, 2025
      • Discretionary RAUM · unset to 0.0
        Dec 6, 2024 to Dec 9, 2025
      • Non-discretionary RAUM · unset to 0.0
        Dec 6, 2024 to Dec 9, 2025
      • RAUM · unset to 0.0
        Dec 6, 2024 to Dec 9, 2025
      • Related broker-dealer · true to false
        Dec 13, 2023 to Dec 6, 2024
      • Related broker-dealer · false to true
        Dec 10, 2020 to Jan 19, 2021
      • Related adviser · true to false
        Jun 10, 2020 to Dec 10, 2020
      • Advisory activities · 2 to 1
        Dec 11, 2019 to Jun 10, 2020
      • Related adviser · false to true
        Dec 11, 2019 to Jun 10, 2020
      • Accounts · 0.0 to unset
        Dec 12, 2016 to Nov 8, 2017
      • Charity clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Corporate clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • HNW clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Individual clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Pension plan clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Pooled vehicle clients · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Financial planning clients · unset to 0
        Dec 12, 2016 to Nov 8, 2017
      • Other offices · unset to 1.0
        Dec 12, 2016 to Nov 8, 2017
      • Discretionary RAUM · 0.0 to unset
        Dec 12, 2016 to Nov 8, 2017
      • HNW RAUM · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Individual RAUM · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Non-discretionary RAUM · 0.0 to unset
        Dec 12, 2016 to Nov 8, 2017
      • Pension RAUM · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • Pooled vehicle RAUM · unset to 0.0
        Dec 12, 2016 to Nov 8, 2017
      • RAUM · 0.0 to unset
        Dec 12, 2016 to Nov 8, 2017
      • Accounts · unset to 0.0
        Dec 17, 2015 to Apr 19, 2016
      • Advisory activities · 1 to 2
        Dec 17, 2015 to Apr 19, 2016
      • Discretionary RAUM · unset to 0.0
        Dec 17, 2015 to Apr 19, 2016
      • Non-discretionary RAUM · unset to 0.0
        Dec 17, 2015 to Apr 19, 2016
      • RAUM · unset to 0.0
        Dec 17, 2015 to Apr 19, 2016
      • Legal name · P•••• P•••• • C•• A••••••• to P•••• N••••• P••••
        Nov 26, 2012 to Dec 12, 2013
      Signals
      1 dated events
      • P•••• P•••• • C•• A••••••• filed its initial SEC registration (Form ADV)
        Nov 26, 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
      P••••SECURITIES.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      (226) 241-1826reportedpublic record, Form ADV, Feb 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
      No RAUM reportedderiveda 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