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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Former SEC-registered adviser
P•••••• S•• F•••••••• G••••
Legal name P•••••• S•• F•••••••• G••••• L••
Latest filing Aug 20, 2025
First filing on the tape Jun 13, 2014 · 31 filings
SEC status approved since Jun 30, 2014
RAUM
$302M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
92%
$279M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$302M as of Aug 20, 2025
Feb 24, 2015$134M then
HNW client RAUM$239M as of Aug 20, 2025
Mar 12, 2018$75.7M then
State-registered IARs (5.B.3)2 as of Aug 20, 2025
Feb 24, 20152 then
Employees (5.A)5 as of Aug 20, 2025
Feb 24, 20152 then
Private funds: no history
RAUM +9.6% over the last fiscal year+2.1% a year over threeIARs 5 to 2offices 2 to 1
Practice profile
derived from the filing of Aug 20, 2025; every figure names its basis
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 156derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $429,124derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Wrap fee program
- $279MreportedItem 5.I
- 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 an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$239M79%
- Individuals$39.6M13%
- Charitable organizations$17.2M5.7%
- Pension and profit-sharing plans$6.3M2.1%
- Individual clients
- 163reported
- HNW clients
- 149reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 704reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- M•••••• R•••••• C•••• to L•• F•••••••• L••Nov 12, 2025 · RIA to affiliated broker-dealer or bank
- M••• J•••• L••••••••• to L•• F•••••••• L••Nov 12, 2025 · RIA to affiliated broker-dealer or bank
- B•••••• H••••••••• to L•• F•••••••• L••Nov 12, 2025 · RIA to affiliated broker-dealer or bank
- E•••••• A••••• V••••• to I•• W••••• M••••••••• L••Dec 2, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• R•••••• C•••• from C••• B•••••••• S•••••••• I•••Jul 10, 2014 · Other
- M••• J•••• L••••••••• from C••• B•••••••• S•••••••• I•••Jun 30, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for L•• F•••••••• L••Nov 12, 2025 · Lake Bluff, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• R•••••• · Principalcontrolsince 01/2014 · owns less than 5%
- L••••••••• M•••• J•••• · Managing Principalcontrolsince 01/2014 · owns less than 5%
- C••••• M••••••• R•••••• · Sole Shareholdercontrolsince 01/2014 · owns 75% or more of S•• F•••••••• G••••• I•••
- L••••••••• M•••• J•••• · Managing Membercontrolsince 01/2014 · owns 75% or more of P•••••• R••• F•••••••• G••••• L••
- N••••• B••••• P•••••• · Chief Compliance Officersince 04/2023 · owns less than 5%
Entity owners
- P•••••• R••• F•••••••• G••••• L•• · Memberdirect · owns 50% to 75%
- S•• F•••••••• G••••• I••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Lake Bluff, Il · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 811 to 704Dec 2, 2024 to Jan 21, 2025
- BD registered reps · 4 to 5Dec 2, 2024 to Jan 21, 2025
- HNW clients · 170 to 149Dec 2, 2024 to Jan 21, 2025
- Individual clients · 190 to 163Dec 2, 2024 to Jan 21, 2025
- Employees · 4 to 5Dec 2, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 51-100Dec 2, 2024 to Jan 21, 2025
- State-registered IARs · 4 to 2Dec 2, 2024 to Jan 21, 2025
- Discretionary RAUM · $269M to $297MDec 2, 2024 to Jan 21, 2025
- HNW RAUM · $202M to $239MDec 2, 2024 to Jan 21, 2025
- Individual RAUM · $52.7M to $39.6MDec 2, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $6.2M to $5.2MDec 2, 2024 to Jan 21, 2025
- Pension RAUM · $6.1M to $6.3MDec 2, 2024 to Jan 21, 2025
- RAUM · $276M to $302MDec 2, 2024 to Jan 21, 2025
- Advisory employees · 3 to 2Oct 8, 2024 to Dec 2, 2024
- BD registered reps · 6 to 4Oct 8, 2024 to Dec 2, 2024
- Employees · 6 to 4Oct 8, 2024 to Dec 2, 2024
- HQ city · WESTCHESTER to LAKE BLUFFOct 8, 2024 to Dec 2, 2024
- State-registered IARs · 5 to 4Oct 8, 2024 to Dec 2, 2024
- Other offices · 2 to 1Oct 8, 2024 to Dec 2, 2024
- Accounts · 689 to 811Sep 14, 2023 to Jan 31, 2024
- HNW clients · 176 to 170Sep 14, 2023 to Jan 31, 2024
- Individual clients · 203 to 190Sep 14, 2023 to Jan 31, 2024
- Pension plan clients · 8 to 5Sep 14, 2023 to Jan 31, 2024
- Discretionary RAUM · $228M to $269MSep 14, 2023 to Jan 31, 2024
- HNW RAUM · $169M to $202MSep 14, 2023 to Jan 31, 2024
- Individual RAUM · $44.4M to $52.7MSep 14, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $5.0M to $6.2MSep 14, 2023 to Jan 31, 2024
- Pension RAUM · $7.0M to $6.1MSep 14, 2023 to Jan 31, 2024
- RAUM · $233M to $276MSep 14, 2023 to Jan 31, 2024
- Wrap assets (sponsor) · $11.6M to $0Sep 14, 2023 to Jan 31, 2024
- Financial planning clients · 26-50 to 51-100Mar 16, 2022 to Mar 24, 2023
- State-registered IARs · 3 to 5Mar 16, 2022 to Mar 24, 2023
- Discretionary RAUM · $277M to $228MMar 16, 2022 to Mar 24, 2023
- HNW RAUM · $204M to $169MMar 16, 2022 to Mar 24, 2023
- Individual RAUM · $54.9M to $44.4MMar 16, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $7.0M to $5.0MMar 16, 2022 to Mar 24, 2023
- Pension RAUM · $9.2M to $7.0MMar 16, 2022 to Mar 24, 2023
- RAUM · $284M to $233MMar 16, 2022 to Mar 24, 2023
- Wrap assets (manager) · unset to 0.0Mar 16, 2022 to Mar 24, 2023
- Wrap assets (sponsor) · unset to 11586887.0Mar 16, 2022 to Mar 24, 2023
Signals
9 dated events
- P•••••• S•• F•••••••• G•••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $302.1M)Dec 20, 2025 · Left the SEC roster · derived
- B•••••• H••••••••• left P•••••• S•• F•••••••• G•••• for L•• F•••••••• L•• (registered 2025-10-14)Nov 12, 2025 · Advisor changed firm · fact
- M•••••• R•••••• C•••• left P•••••• S•• F•••••••• G•••• for L•• F•••••••• L•• (registered 2025-10-14)Nov 12, 2025 · Advisor changed firm · fact
- M••• J•••• L••••••••• left P•••••• S•• F•••••••• G•••• for L•• F•••••••• L•• (registered 2025-10-14)Nov 12, 2025 · Advisor changed firm · fact
- P•••••• S•• F•••••••• G••••'s advisors moved to L•• F•••••••• L•• (Lake Bluff, IL): 3 of 3 registered, on the same dayNov 12, 2025 · Firm absorbed (people side) · derived
- E•••••• A••••• V••••• left P•••••• S•• F•••••••• G•••• for I•• W••••• M••••••••• L•• (registered 2024-12-02)Dec 2, 2024 · Advisor changed firm · fact
- Arthur Elliott Vaughn (Member) no longer on Schedule A of P•••••• S•• F•••••••• G•••• (listed 2024-10-08, absent 2024-12-02)Dec 2, 2024 · Control person left · inference
- Arthur Elliott Vaughn (Member) appeared on Schedule A of P•••••• S•• F•••••••• G••••Mar 9, 2021 · Control person joined · fact
- P•••••• S•• F•••••••• G•••• filed its initial SEC registration (Form ADV)Jun 13, 2014 · 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