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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•••••• A••••••• G••••• L••
Latest filing Sep 13, 2024
First filing on the tape Sep 29, 2023 · 9 filings
RAUM
$36.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$33.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$36.7M as of Sep 13, 2024
Sep 29, 2023$27.8M then
HNW client RAUM$25.8M as of Sep 13, 2024
Sep 29, 2023$22.3M then
State-registered IARs (5.B.3)1 as of Sep 13, 2024
Sep 29, 20231 then
Employees (5.A)1 as of Sep 13, 2024
Sep 29, 20231 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 13, 2024; every figure names its basis
- RAUM per advisor
- $36.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $831,290derivedHNW RAUM over HNW clients
- Average account
- $209,507derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $30.9M, 85 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$25.8M70%
- Individuals$7.9M22%
- Pension and profit-sharing plans$3.0M8.2%
- Individual clients
- 45reported
- HNW clients
- 31reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 175reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.9M for 85 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• C••••••••• R••••Chartered Financial Analyst | Skaneateles, Ny | Oct 10, 2021 | 15 y | 2 |
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
- A••••• C••••••••• R•••• from R••••••• C••••• A••••••• S•••••••Jun 9, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• A•••••• C••••••••• · Managing Member, Chief Compliance Officercontrolsince 05/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory activities · 1 to 3Jul 25, 2024 to Sep 13, 2024
- Financial planning clients · unset to 0Jul 25, 2024 to Sep 13, 2024
- Assets in custody · unset to 30900000.0Mar 27, 2024 to Jun 3, 2024
- Custody of client assets · false to trueMar 27, 2024 to Jun 3, 2024
- Charity clients · unset to 0.0Jan 17, 2024 to Mar 27, 2024
- Corporate clients · unset to 0.0Jan 17, 2024 to Mar 27, 2024
- HNW clients · 42 to 31Jan 17, 2024 to Mar 27, 2024
- Individual clients · 47 to 45Jan 17, 2024 to Mar 27, 2024
- Pension plan clients · 3 to 2Jan 17, 2024 to Mar 27, 2024
- Pooled vehicle clients · unset to 0.0Jan 17, 2024 to Mar 27, 2024
- Discretionary RAUM · $27.8M to $36.7MJan 17, 2024 to Mar 27, 2024
- HNW RAUM · $22.3M to $25.8MJan 17, 2024 to Mar 27, 2024
- Individual RAUM · $3.2M to $7.9MJan 17, 2024 to Mar 27, 2024
- Pension RAUM · $2.3M to $3.0MJan 17, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 0.0Jan 17, 2024 to Mar 27, 2024
- RAUM · $27.8M to $36.7MJan 17, 2024 to Mar 27, 2024
- Other offices · 0 to 1Nov 8, 2023 to Jan 17, 2024
Signals
1 dated events
- P•••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 2023 · 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
- $36.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026