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•••• F•••••••• C••••••••• L••

Former SEC-registered adviserBoise, IdahoCRD 282032SEC 801-106898IAPD
Latest filing Mar 25, 2024
First filing on the tape Nov 3, 2015 · 21 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.2B as of Mar 25, 2024
Mar 1, 2016$326M then
HNW client RAUM$617M as of Mar 25, 2024
Mar 16, 2018$174M then
State-registered IARs (5.B.3)7 as of Mar 25, 2024
Mar 1, 20165 then
Employees (5.A)7 as of Mar 25, 2024
Mar 1, 20166 then
Private funds: no history
RAUM +19% over the last fiscal year+6.3% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
RAUM per advisor
$170MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
330derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$308,700derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$1.2B, 2,318 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$617M52%
  • Individuals$568M48%
  • Charitable organizations$7.3M0.6%
Individual clients
2,032reported
HNW clients
278reported
Pension plan clients
n/areported
Charitable clients
8reported
Accounts
3,863reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 2,318 clientsreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••• D••••• S•••••• · Membercontrol
    since 02/2001 · owns 75% or more
  • S••••• J•••••••• L••• · Chief Compliance Officer
    since 11/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Boise, Id · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 3,462 to 3,863
    Sep 27, 2023 to Mar 25, 2024
  • Charity clients · 6 to 8
    Sep 27, 2023 to Mar 25, 2024
  • HNW clients · 323 to 278
    Sep 27, 2023 to Mar 25, 2024
  • Individual clients · 1,980 to 2,032
    Sep 27, 2023 to Mar 25, 2024
  • Assets in custody · $1.0B to $1.2B
    Sep 27, 2023 to Mar 25, 2024
  • Employees · 5 to 7
    Sep 27, 2023 to Mar 25, 2024
  • State-registered IARs · 5 to 7
    Sep 27, 2023 to Mar 25, 2024
  • Discretionary RAUM · $1.0B to $1.2B
    Sep 27, 2023 to Mar 25, 2024
  • HNW RAUM · $673M to $617M
    Sep 27, 2023 to Mar 25, 2024
  • Individual RAUM · $325M to $568M
    Sep 27, 2023 to Mar 25, 2024
  • RAUM · $1.0B to $1.2B
    Sep 27, 2023 to Mar 25, 2024
  • Accounts · 3,341 to 3,462
    Mar 3, 2022 to Mar 8, 2023
  • Advisory employees · 6 to 5
    Mar 3, 2022 to Mar 8, 2023
  • Charity clients · unset to 6.0
    Mar 3, 2022 to Mar 8, 2023
  • HNW clients · 237 to 323
    Mar 3, 2022 to Mar 8, 2023
  • Individual clients · 2,113 to 1,980
    Mar 3, 2022 to Mar 8, 2023
  • Assets in custody · $1.1B to $1.0B
    Mar 3, 2022 to Mar 8, 2023
  • Employees · 6 to 5
    Mar 3, 2022 to Mar 8, 2023
  • State-registered IARs · 6 to 5
    Mar 3, 2022 to Mar 8, 2023
  • Discretionary RAUM · $1.1B to $1.0B
    Mar 3, 2022 to Mar 8, 2023
  • HNW RAUM · $623M to $673M
    Mar 3, 2022 to Mar 8, 2023
  • Individual RAUM · $461M to $325M
    Mar 3, 2022 to Mar 8, 2023
  • RAUM · $1.1B to $1.0B
    Mar 3, 2022 to Mar 8, 2023
  • Accounts · 2,163 to 3,341
    Jun 9, 2021 to Mar 3, 2022
  • Advisory employees · 5 to 6
    Jun 9, 2021 to Mar 3, 2022
  • HNW clients · 191 to 237
    Jun 9, 2021 to Mar 3, 2022
  • Individual clients · 1,970 to 2,113
    Jun 9, 2021 to Mar 3, 2022
  • Assets in custody · $944M to $1.1B
    Jun 9, 2021 to Mar 3, 2022
  • Employees · 5 to 6
    Jun 9, 2021 to Mar 3, 2022
  • State-registered IARs · 5 to 6
    Jun 9, 2021 to Mar 3, 2022
  • Discretionary RAUM · $992M to $1.1B
    Jun 9, 2021 to Mar 3, 2022
  • HNW RAUM · $510M to $623M
    Jun 9, 2021 to Mar 3, 2022
  • Individual RAUM · $479M to $461M
    Jun 9, 2021 to Mar 3, 2022
  • RAUM · $992M to $1.1B
    Jun 9, 2021 to Mar 3, 2022
  • Accounts · 2,631 to 2,163
    Jun 2, 2020 to Feb 22, 2021
  • Advisory employees · 6 to 5
    Jun 2, 2020 to Feb 22, 2021
  • HNW clients · 346 to 191
    Jun 2, 2020 to Feb 22, 2021
  • Individual clients · 1,261 to 1,970
    Jun 2, 2020 to Feb 22, 2021
  • Assets in custody · $695M to $944M
    Jun 2, 2020 to Feb 22, 2021
  • Employees · 6 to 5
    Jun 2, 2020 to Feb 22, 2021
Signals
13 dated events
  • D•••• S•••••• P•••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-18)
    Dec 31, 2024 · a•••••• firm change · fact
  • 2 advisors left P•••• F•••••••• C••••••••• L•• (Boise, ID) for M••••• W••••• M••••••••• L•• on the same day
    Dec 31, 2024 · Team lift-out · derived
  • J••••••• L••• S•••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-18)
    Dec 31, 2024 · a•••••• firm change · fact
  • M•••••• N•••• J•••••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-20)
    Nov 12, 2024 · a•••••• firm change · fact
  • T••••• B•••• K•••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-18)
    Nov 12, 2024 · a•••••• firm change · fact
  • T••••• G•••••• B•••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-18)
    Nov 12, 2024 · a•••••• firm change · fact
  • M•••••• M•••••••• H•••••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-18)
    Nov 12, 2024 · a•••••• firm change · fact
  • R•••••• J••••• P•••• left P•••• F•••••••• C••••••••• L•• for M••••• W••••• M••••••••• L•• (registered 2024-10-20)
    Nov 12, 2024 · a•••••• firm change · fact
  • P•••• F•••••••• C••••••••• L••'s advisors moved to M••••• W••••• M••••••••• L•• (Boise, ID): 5 of 7 registered, on the same day
    Nov 12, 2024 · Firm absorbed (people side) · derived
  • E•••• M•••• left P•••• F•••••••• C••••••••• L•• for S•••••• F•••••••• G••••• L••••• (registered 2022-05-13)
    Mar 28, 2022 · a•••••• firm change · fact
  • P•••• F•••••••• C••••••••• L•• reported RAUM $991.6M, up 27% from $780.1M (2020-06-02 to 2021-02-22)
    Feb 22, 2021 · RAUM change · derived
  • P•••• F•••••••• C••••••••• L•• reported RAUM $780.1M, up 35% from $575.8M (2019-02-26 to 2020-03-23)
    Mar 23, 2020 · RAUM change · derived
  • P•••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 3, 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