DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

P••••• C•••••• M••••••••• L••

Former SEC-registered adviserEl Segundo, CaliforniaCRD 167351SEC 801-77936IAPD
Latest filing Mar 19, 2022
First filing on the tape Apr 3, 2013 · 15 filings
RAUM
$159M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$159M as of Mar 19, 2022
Jun 30, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 19, 2022
Mar 31, 20150 then
Employees (5.A)5 as of Mar 19, 2022
Mar 31, 20155 then
Private funds: no history
RAUM -19% over the last fiscal year-4.1% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Mar 19, 2022; every figure names its basis
RAUM per advisor
$39.8MderivedRAUM 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
$159MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$159M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • A••••••••• M••••••• D••• · Presidentcontrol
        since 03/2013 · owns less than 5%
      • B•••••••• B••••• A••• · Chief Compliance Officercontrol
        since 09/2021 · owns less than 5%
      • S••••••• J•••• G•••••• · Managing Principalcontrol
        since 02/2013 · owns less than 5%
      Entity owners
      • P••••• G••••• L•• · Owner/Shareholder
        direct · owns 75% or more
      • M•••••• R••••• A•••••••• L•• · Owner/Shareholder
        indirect · owns F of P••••• G••••• L••
      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
      • Discretionary RAUM · $195M to $159M
        Sep 3, 2021 to Mar 19, 2022
      • RAUM · $195M to $159M
        Sep 3, 2021 to Mar 19, 2022
      • Employees · 6 to 5
        Mar 31, 2021 to Sep 3, 2021
      • Other offices · 1 to 0
        Mar 31, 2021 to Sep 3, 2021
      • HQ city · IRVINE to EL SEGUNDO
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $221M to $195M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $221M to $195M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 4 to 6
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $180M to $221M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $180M to $221M
        Mar 28, 2019 to Mar 30, 2020
      • BD registered reps · 1 to 0
        May 10, 2018 to Mar 28, 2019
      • Employees · 5 to 4
        May 10, 2018 to Mar 28, 2019
      • State-registered IARs · 5 to 4
        May 10, 2018 to Mar 28, 2019
      • Other offices · 0 to 1
        May 10, 2018 to Mar 28, 2019
      • Discretionary RAUM · $44.0M to $180M
        May 10, 2018 to Mar 28, 2019
      • RAUM · $44.0M to $180M
        May 10, 2018 to Mar 28, 2019
      • Discretionary RAUM · $43.0M to $44.0M
        Apr 6, 2018 to May 10, 2018
      • RAUM · $43.0M to $44.0M
        Apr 6, 2018 to May 10, 2018
      • Employees · 6 to 5
        Mar 30, 2017 to Apr 6, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Apr 6, 2018
      • Discretionary RAUM · $25.0M to $43.0M
        Mar 30, 2017 to Apr 6, 2018
      • RAUM · $25.0M to $43.0M
        Mar 30, 2017 to Apr 6, 2018
      • Accounts · 0 to 1
        Jun 30, 2016 to Mar 30, 2017
      • BD registered reps · 0 to 1
        Jun 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $0 to $25.0M
        Jun 30, 2016 to Mar 30, 2017
      • RAUM · $0 to $25.0M
        Jun 30, 2016 to Mar 30, 2017
      • Accounts · unset to 0.0
        May 31, 2016 to Jun 30, 2016
      • Employees · 5 to 6
        May 31, 2016 to Jun 30, 2016
      • State-registered IARs · 4 to 5
        May 31, 2016 to Jun 30, 2016
      • Discretionary RAUM · unset to 0.0
        May 31, 2016 to Jun 30, 2016
      • Non-discretionary RAUM · unset to 0.0
        May 31, 2016 to Jun 30, 2016
      • RAUM · unset to 0.0
        May 31, 2016 to Jun 30, 2016
      • State-registered IARs · 0 to 4
        May 9, 2016 to May 31, 2016
      • Advisory employees · 4 to 3
        Mar 25, 2016 to May 9, 2016
      • BD registered reps · 3 to 0
        Mar 31, 2015 to Mar 25, 2016
      • Accounts · 0.0 to unset
        Feb 2, 2015 to Mar 31, 2015
      • Discretionary RAUM · 0.0 to unset
        Feb 2, 2015 to Mar 31, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Feb 2, 2015 to Mar 31, 2015
      • RAUM · 0.0 to unset
        Feb 2, 2015 to Mar 31, 2015
      • HQ city · NEWPORT BEACH to IRVINE
        Apr 3, 2013 to Feb 2, 2015
      Signals
      4 dated events
      • Yvette Valerie Pierrat (Chief Compliance Officer) no longer on Schedule A of P••••• C•••••• M••••••••• L•• (listed 2021-03-31, absent 2021-09-03)
        Sep 3, 2021 · Control person left · inference
      • Alan Blake Bjordahl (Chief Compliance Officer) appeared on Schedule A of P••••• C•••••• M••••••••• L••
        Sep 3, 2021 · Control person joined · fact
      • Yvette Valerie Pierrat (Chief Compliance Officer) appeared on Schedule A of P••••• C•••••• M••••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • P••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 3, 2013 · 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.
      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