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••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 172203SEC 801-80181IAPD
Latest filing Mar 28, 2022
First filing on the tape Aug 1, 2014 · 13 filings
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$149M as of Mar 28, 2022
Mar 11, 2015$104M then
HNW client RAUM$118M as of Mar 28, 2022
Mar 7, 2018$110M then
State-registered IARs (5.B.3)2 as of Mar 28, 2022
Mar 11, 20151 then
Employees (5.A)2 as of Mar 28, 2022
Mar 11, 20151 then
Private funds: no history
RAUM +6.9% over the last fiscal year+7.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2022; every figure names its basis
RAUM per advisor
$74.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$149MreportedItem 5.I
Custody
$56.4M, 14 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)
  • 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$118M79%
  • Corporations and businesses$26.7M18%
  • Charitable organizations$2.9M1.9%
  • Individuals$1.6M1.0%
Individual clients
9reported
HNW clients
62reported
Pension plan clients
0reported
Charitable clients
3reported
Accounts
121reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$56.4M for 14 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• J••••• R••••• · Member; Chief Compliance Officercontrol
    since 06/2014 · owns 75% or more
Related persons
Schedule D 7.A
  • J•••• R• P•••••• C••
    insurancereal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 120 to 121
    Mar 30, 2021 to Mar 28, 2022
  • Charity clients · 2 to 3
    Mar 30, 2021 to Mar 28, 2022
  • Corporate clients · 19 to 20
    Mar 30, 2021 to Mar 28, 2022
  • HNW clients · 66 to 62
    Mar 30, 2021 to Mar 28, 2022
  • Assets in custody · $51.6M to $56.4M
    Mar 30, 2021 to Mar 28, 2022
  • Discretionary RAUM · $140M to $149M
    Mar 30, 2021 to Mar 28, 2022
  • HNW RAUM · $116M to $118M
    Mar 30, 2021 to Mar 28, 2022
  • Individual RAUM · $1.1M to $1.6M
    Mar 30, 2021 to Mar 28, 2022
  • RAUM · $140M to $149M
    Mar 30, 2021 to Mar 28, 2022
  • Accounts · 119 to 120
    Jun 30, 2020 to Mar 30, 2021
  • Corporate clients · 22 to 19
    Jun 30, 2020 to Mar 30, 2021
  • HNW clients · 62 to 66
    Jun 30, 2020 to Mar 30, 2021
  • Assets in custody · $45.6M to $51.6M
    Jun 30, 2020 to Mar 30, 2021
  • Discretionary RAUM · $123M to $140M
    Jun 30, 2020 to Mar 30, 2021
  • HNW RAUM · $96.3M to $116M
    Jun 30, 2020 to Mar 30, 2021
  • Individual RAUM · $782,259 to $1.1M
    Jun 30, 2020 to Mar 30, 2021
  • RAUM · $123M to $140M
    Jun 30, 2020 to Mar 30, 2021
  • Accounts · 122 to 119
    Mar 5, 2019 to Mar 31, 2020
  • Charity clients · unset to 2.0
    Mar 5, 2019 to Mar 31, 2020
  • Corporate clients · 21 to 22
    Mar 5, 2019 to Mar 31, 2020
  • HNW clients · 41 to 62
    Mar 5, 2019 to Mar 31, 2020
  • Individual clients · 5 to 9
    Mar 5, 2019 to Mar 31, 2020
  • Pension plan clients · 48 to 0
    Mar 5, 2019 to Mar 31, 2020
  • Assets in custody · $52.6M to $45.6M
    Mar 5, 2019 to Mar 31, 2020
  • Discretionary RAUM · $122M to $123M
    Mar 5, 2019 to Mar 31, 2020
  • HNW RAUM · $77.4M to $96.3M
    Mar 5, 2019 to Mar 31, 2020
  • Individual RAUM · $507,411 to $782,259
    Mar 5, 2019 to Mar 31, 2020
  • Pension RAUM · 16947448.0 to unset
    Mar 5, 2019 to Mar 31, 2020
  • RAUM · $122M to $123M
    Mar 5, 2019 to Mar 31, 2020
  • Wrap assets (manager) · $122M to $0
    Mar 5, 2019 to Mar 31, 2020
  • Wrap assets (sponsor) · $122M to $0
    Mar 5, 2019 to Mar 31, 2020
  • Accounts · 127 to 122
    Mar 7, 2018 to Mar 5, 2019
  • Advisory employees · 1 to 2
    Mar 7, 2018 to Mar 5, 2019
  • Corporate clients · unset to 21.0
    Mar 7, 2018 to Mar 5, 2019
  • HNW clients · 78 to 41
    Mar 7, 2018 to Mar 5, 2019
  • Individual clients · 18 to 5
    Mar 7, 2018 to Mar 5, 2019
  • Pension plan clients · unset to 48.0
    Mar 7, 2018 to Mar 5, 2019
  • Assets in custody · unset to 52602157.0
    Mar 7, 2018 to Mar 5, 2019
  • Custody of client assets · false to true
    Mar 7, 2018 to Mar 5, 2019
  • Employees · 1 to 2
    Mar 7, 2018 to Mar 5, 2019
Signals
2 dated events
  • J•••• R••••• P••••• left P••••• W••••• M••••••••• L•• for P•••••• V•••• M••••••••• L••• (registered 2022-05-03)
    Jun 2, 2022 · Advisor changed firm · fact
  • P••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 1, 2014 · ria f•••• adv filing · 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