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•••••• J•••• F•••••••• C••
Legal name P•••••• J•••• C••••••••• C••
Latest filing Mar 27, 2026
First filing on the tape Jan 14, 2021 · 10 filings
SEC status approved since Feb 16, 2021
RAUM
$222M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$222M as of Mar 27, 2026
Mar 30, 2022$151M then
HNW client RAUM$198M as of Mar 27, 2026
Mar 30, 2022$105M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 30, 20222 then
Employees (5.A)3 as of Mar 27, 2026
Mar 30, 20224 then
Private funds: no history
RAUM +13% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $292,963derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $78.2M, 131 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M89%
- Individuals$24.3M11%
- Individual clients
- 54reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 758reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.2M for 131 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 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•••••• R•••••• C•••••••••Chartered Financial Analyst | Plymouth, Mn | Nov 25, 2022 | 16 y | 1 |
| J•••• L••••• S••••• | Plymouth, Mn | Nov 25, 2022 | 16 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• P••••••• R•••••• · Chief Executive Officer / Chief Compliance Officercontrolsince 06/2013 · owns 50% to 75%
- S•••••• J••••• L••••• · Chief Financial Officercontrolsince 06/2013 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Plymouth, Mn · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 759 to 758Mar 21, 2025 to Mar 27, 2026
- HNW clients · 52 to 60Mar 21, 2025 to Mar 27, 2026
- Individual clients · 65 to 54Mar 21, 2025 to Mar 27, 2026
- Assets in custody · $197M to $78.2MMar 21, 2025 to Mar 27, 2026
- Employees · 4 to 3Mar 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $192M to $219MMar 21, 2025 to Mar 27, 2026
- HNW RAUM · $154M to $198MMar 21, 2025 to Mar 27, 2026
- Individual RAUM · $43.5M to $24.3MMar 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $5.0M to $2.8MMar 21, 2025 to Mar 27, 2026
- RAUM · $197M to $222MMar 21, 2025 to Mar 27, 2026
- Accounts · 727 to 759Mar 15, 2024 to Mar 21, 2025
- HNW clients · 53 to 52Mar 15, 2024 to Mar 21, 2025
- Individual clients · 62 to 65Mar 15, 2024 to Mar 21, 2025
- Assets in custody · $32.0M to $197MMar 15, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 15, 2024 to Mar 21, 2025
- Discretionary RAUM · $165M to $192MMar 15, 2024 to Mar 21, 2025
- HNW RAUM · $145M to $154MMar 15, 2024 to Mar 21, 2025
- Individual RAUM · $21.9M to $43.5MMar 15, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $1.9M to $5.0MMar 15, 2024 to Mar 21, 2025
- RAUM · $167M to $197MMar 15, 2024 to Mar 21, 2025
- Accounts · 708 to 727Aug 30, 2023 to Mar 15, 2024
- HNW clients · 43 to 53Aug 30, 2023 to Mar 15, 2024
- Individual clients · 77 to 62Aug 30, 2023 to Mar 15, 2024
- Financial planning clients · 51-100 to 101-250Aug 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $135M to $165MAug 30, 2023 to Mar 15, 2024
- HNW RAUM · $106M to $145MAug 30, 2023 to Mar 15, 2024
- Individual RAUM · $28.9M to $21.9MAug 30, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $1.9MAug 30, 2023 to Mar 15, 2024
- RAUM · $135M to $167MAug 30, 2023 to Mar 15, 2024
- Accounts · 618 to 708Nov 25, 2022 to Jan 24, 2023
- HNW clients · 36 to 43Nov 25, 2022 to Jan 24, 2023
- Individual clients · 80 to 77Nov 25, 2022 to Jan 24, 2023
- Discretionary RAUM · $151M to $135MNov 25, 2022 to Jan 24, 2023
- HNW RAUM · $105M to $106MNov 25, 2022 to Jan 24, 2023
- Individual RAUM · $46.0M to $28.9MNov 25, 2022 to Jan 24, 2023
- RAUM · $151M to $135MNov 25, 2022 to Jan 24, 2023
- Accounts · 698 to 618Jan 18, 2021 to Mar 30, 2022
- HNW clients · 37 to 36Jan 18, 2021 to Mar 30, 2022
- Assets in custody · unset to 32000113.0Jan 18, 2021 to Mar 30, 2022
- Custody of client assets · false to trueJan 18, 2021 to Mar 30, 2022
Signals
1 dated events
- P•••••• J•••• F•••••••• C•• filed its initial SEC registration (Form ADV)Jan 14, 2021 · 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
- Business phone
- 763-442-8406reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/phillip-james-financialreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/pjf-taxreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tax-preparation-plymouth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 763-432-0852reportedpublic record, Form ADV, Mar 27, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026