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••••••• C••••••

Former SEC-registered adviserHouston, TexasCRD 174405SEC 801-87172IAPD
Legal name P••••••• A•••••••• L••
Latest filing Nov 15, 2019
First filing on the tape Mar 30, 2015 · 13 filings
RAUM
$30.9M
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
1
1 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$62.9M as of Mar 21, 2019
Feb 23, 2016$38.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 21, 2019
Feb 23, 20161 then
Employees (5.A)1 as of Mar 21, 2019
Feb 23, 20163 then
Private funds: no history
RAUM -44% over the last fiscal year-7.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 15, 2019; every figure names its basis
RAUM per advisor
$30.9MderivedRAUM 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
$30.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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, performance-basedreportedItem 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • H•••• A•••••••• Y••• · Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      • S••••• K••••• W•••• · Elected Managercontrol
        since 03/2015 · owns less than 5%
      • S••••• K••••• W•••• · Managing Membercontrol
        since 01/2015 · owns 75% or more of Skw Financial, LLC
      Entity owners
      • S•• F•••••••• L•• · Managing Member
        direct · owns 75% or more
      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 · $61.8M to $30.9M
        May 16, 2019 to Nov 15, 2019
      • RAUM · $61.8M to $30.9M
        May 16, 2019 to Nov 15, 2019
      • Discretionary RAUM · $62.9M to $61.8M
        Mar 21, 2019 to May 16, 2019
      • RAUM · $62.9M to $61.8M
        Mar 21, 2019 to May 16, 2019
      • Discretionary RAUM · $54.8M to $62.9M
        Mar 26, 2018 to Mar 21, 2019
      • RAUM · $54.8M to $62.9M
        Mar 26, 2018 to Mar 21, 2019
      • Advisory employees · 2 to 1
        Jul 28, 2017 to Mar 26, 2018
      • Employees · 4 to 1
        Jul 28, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Jul 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $47.4M to $54.8M
        Jul 28, 2017 to Mar 26, 2018
      • RAUM · $47.4M to $54.8M
        Jul 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $47.4M to $47.4M
        Feb 28, 2017 to Jul 28, 2017
      • RAUM · $47.4M to $47.4M
        Feb 28, 2017 to Jul 28, 2017
      • Employees · 3 to 4
        Jul 6, 2016 to Feb 28, 2017
      • Discretionary RAUM · $38.5M to $47.4M
        Jul 6, 2016 to Feb 28, 2017
      • RAUM · $38.5M to $47.4M
        Jul 6, 2016 to Feb 28, 2017
      • Advisory activities · 2 to 1
        Jun 3, 2015 to Feb 23, 2016
      • Employees · 2 to 3
        Jun 3, 2015 to Feb 23, 2016
      • State-registered IARs · 0 to 1
        Jun 3, 2015 to Feb 23, 2016
      • Discretionary RAUM · $20.0M to $38.5M
        Jun 3, 2015 to Feb 23, 2016
      • RAUM · $20.0M to $38.5M
        Jun 3, 2015 to Feb 23, 2016
      • Accounts · unset to 1.0
        Mar 31, 2015 to Jun 3, 2015
      • Discretionary RAUM · unset to 20000000.0
        Mar 31, 2015 to Jun 3, 2015
      • Non-discretionary RAUM · unset to 0.0
        Mar 31, 2015 to Jun 3, 2015
      • RAUM · unset to 20000000.0
        Mar 31, 2015 to Jun 3, 2015
      • Related adviser · true to false
        Mar 31, 2015 to Jun 3, 2015
      • Related bank · true to false
        Mar 31, 2015 to Jun 3, 2015
      Signals
      1 dated events
      • P••••••• C•••••• filed its initial SEC registration (Form ADV)
        Mar 30, 2015 · 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