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.

Former SEC-registered adviser

Pension Architects Advisory Group LLC

Former SEC-registered adviserNew York, New YorkCRD 168860SEC 801-78570IAPD
Latest filing Mar 28, 2016
First filing on the tape Sep 9, 2013 · 5 filings
RAUM
$413M
reported, Item 5.F
Discretionary
29%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$413M as of Mar 28, 2016
Apr 1, 2014$646M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 28, 2016
Apr 1, 20145 then
Employees (5.A)6 as of Mar 28, 2016
Apr 1, 201412 then
Private funds: no history
RAUM -42% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2016; every figure names its basis
RAUM per advisor
$206MderivedRAUM 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
$9.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
29%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-42%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 assets, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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
42reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Patrick Kurt Miscinski · Managercontrol
    since 08/2015 · owns less than 5%
  • Edward Philip Steele · Presidentcontrol
    since 08/2013 · owns 25% to 50%
  • Sharon Steele · Membercontrol
    since 08/2013 · owns 25% to 50%
  • Joseph Robert Seco · Chief Compliance Officer
    since 08/2013 · owns less than 5%
Entity owners
  • Pension Architects · Member
    direct · owns 50% to 75%
  • Emigrant Bancorp · Parent Corporation
    indirect · owns 75% or more of Emigrant Bank
  • Emigrant Bank · Parent Corporation
    indirect · owns 50% to 75% of Hpm Partners LLC
  • Hpm Partners LLC · Member
    indirect · owns 75% or more of Retirement Plan Advisors An Hpm Partners Member Firm LLC
  • New York Private Bank And Trust Corporation · Parent Corporation
    indirect · owns 75% or more of Emigrant Bancorp
  • Paul Milstein 1998 Revocable Trust · Grantor Trust
    indirect · owns 75% or more of New York Private Bank And Trust Corporation
Related persons
Schedule D 7.A
Advisers that list Pension Architects Advisory Group LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Los Angeles, CA
What changed
consecutive filings, newest first
  • Accounts · 36 to 42
    Mar 30, 2015 to Mar 28, 2016
  • Employees · 10 to 6
    Mar 30, 2015 to Mar 28, 2016
  • Discretionary RAUM · $0 to $120M
    Mar 30, 2015 to Mar 28, 2016
  • Non-discretionary RAUM · $712M to $292M
    Mar 30, 2015 to Mar 28, 2016
  • RAUM · $712M to $413M
    Mar 30, 2015 to Mar 28, 2016
  • Accounts · 38 to 36
    Apr 1, 2014 to Mar 30, 2015
  • Advisory employees · 6 to 3
    Apr 1, 2014 to Mar 30, 2015
  • Employees · 12 to 10
    Apr 1, 2014 to Mar 30, 2015
  • Insurance-licensed employees · 2 to 0
    Apr 1, 2014 to Mar 30, 2015
  • State-registered IARs · 5 to 2
    Apr 1, 2014 to Mar 30, 2015
  • Non-discretionary RAUM · $646M to $712M
    Apr 1, 2014 to Mar 30, 2015
  • RAUM · $646M to $712M
    Apr 1, 2014 to Mar 30, 2015
  • Employees · 16 to 12
    Sep 16, 2013 to Apr 1, 2014
  • State-registered IARs · 10 to 5
    Sep 16, 2013 to Apr 1, 2014
  • Legal name · PAAG MERGER LLC to PENSION ARCHITECTS ADVISORY GROUP LLC
    Sep 16, 2013 to Apr 1, 2014
  • Discretionary RAUM · $149M to $0
    Sep 16, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $385M to $646M
    Sep 16, 2013 to Apr 1, 2014
  • RAUM · $534M to $646M
    Sep 16, 2013 to Apr 1, 2014
  • Accounts · 53 to 38
    Sep 16, 2013 to Apr 1, 2014
  • Advisory employees · 10 to 6
    Sep 16, 2013 to Apr 1, 2014
  • Business name · PAAG MERGER LLC to PENSION ARCHITECTS ADVISORY GROUP LLC
    Sep 16, 2013 to Apr 1, 2014
  • Succession · true to false
    Sep 9, 2013 to Sep 16, 2013
Signals
2 dated events
  • Paag Merger Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Sep 9, 2013 · Succession (Item 4) · fact
  • Paag Merger Llc filed its initial SEC registration (Form ADV)
    Sep 9, 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