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.
SEC-registered adviser
Pfg Private Wealth Management, LLC
Latest filing Mar 13, 2026
First filing on the tape Apr 5, 2018 · 26 filings
SEC status approved since May 4, 2018
RAUM
$289M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$280M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$48.2M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$289M as of Mar 13, 2026
Jan 25, 2019$141M then
HNW client RAUM$166M as of Mar 13, 2026
Jan 25, 2019$71.6M then
State-registered IARs (5.B.3)7 as of Mar 13, 2026
Jan 25, 20196 then
Employees (5.A)7 as of Mar 13, 2026
Jan 25, 20196 then
Private funds: no history
RAUM +21% over the last fiscal year+6.5% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $48.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $240,466derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M57%
- Individuals$115M40%
- Pension and profit-sharing plans$8.6M3.0%
- Charitable organizations$233,2180.1%
- Individual clients
- 407reported
- HNW clients
- 67reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 1,202reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Douglas Perry | Lutz, Fl | Apr 26, 2016 | 28 y | 2 |
| Andrew Jared Whitten | Lutz, Fl | May 3, 2016 | 17 y | 1 |
| Joao Augusto TeixeiraCertified Financial Planner | Lutz, Fl | May 4, 2016 | 18 y | 2 |
| Nicholas Robert Mcdevitt | Lutz, Fl | May 16, 2016 | 18 y | 1 |
| Nicholas Andrew Perry | Lutz, Fl | Jun 16, 2024 | 12 y | 0 |
| Jacob Alexander Perry | Lutz, Fl | Jul 24, 2024 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- Michael Jon Oconnell to Florida Financial Advisors, LLCSep 18, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- Michael Jon Oconnell from Mutual Of Omaha Investor Services, Inc.Sep 19, 2024 · Other
- Nicholas Robert Mcdevitt from MML Investors Services, LLCMay 16, 2016 · Other
- Joao Augusto Teixeira from Cambridge Investment Research Advisors, Inc.May 4, 2016 · Other
- Andrew Jared Whitten from Taylor & Williams, Inc.May 3, 2016 · Other
- Jeffrey Douglas Perry from Cambridge Investment Research Advisors, Inc.Apr 26, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Cambridge Investment Research Advisors, Inc.Apr 6, 2016 · Lutz, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas Jeffrey Perry · President/Ceo/Chief Compliance Officercontrolsince 11/2015 · owns 75% or more
- Montgomery Robert Perry · Chairmancontrolsince 11/2015 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Lutz, Fl · principal | 6 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,104 to 1,202Jul 24, 2025 to Mar 13, 2026
- Advisory employees · 8 to 7Jul 24, 2025 to Mar 13, 2026
- Charity clients · 0 to 1Jul 24, 2025 to Mar 13, 2026
- HNW clients · 55 to 67Jul 24, 2025 to Mar 13, 2026
- Individual clients · 384 to 407Jul 24, 2025 to Mar 13, 2026
- Pension plan clients · unset to 3.0Jul 24, 2025 to Mar 13, 2026
- Employees · 8 to 7Jul 24, 2025 to Mar 13, 2026
- State-registered IARs · 8 to 7Jul 24, 2025 to Mar 13, 2026
- Discretionary RAUM · $238M to $288MJul 24, 2025 to Mar 13, 2026
- HNW RAUM · $131M to $166MJul 24, 2025 to Mar 13, 2026
- Individual RAUM · $95.7M to $115MJul 24, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $542,389 to $744,023Jul 24, 2025 to Mar 13, 2026
- Pension RAUM · $11.8M to $8.6MJul 24, 2025 to Mar 13, 2026
- RAUM · $239M to $289MJul 24, 2025 to Mar 13, 2026
- Financial planning clients · 101-250 to 101-250Mar 3, 2025 to Jul 24, 2025
- Accounts · 971 to 1,104Feb 29, 2024 to Mar 3, 2025
- Advisory employees · 6 to 8Feb 29, 2024 to Mar 3, 2025
- HNW clients · 49 to 55Feb 29, 2024 to Mar 3, 2025
- Individual clients · 365 to 384Feb 29, 2024 to Mar 3, 2025
- Assets in custody · 3122009.0 to unsetFeb 29, 2024 to Mar 3, 2025
- Custody of client assets · true to falseFeb 29, 2024 to Mar 3, 2025
- Employees · 6 to 8Feb 29, 2024 to Mar 3, 2025
- State-registered IARs · 6 to 8Feb 29, 2024 to Mar 3, 2025
- Discretionary RAUM · $203M to $238MFeb 29, 2024 to Mar 3, 2025
- HNW RAUM · $104M to $131MFeb 29, 2024 to Mar 3, 2025
- Individual RAUM · $85.4M to $95.7MFeb 29, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $837,977 to $542,389Feb 29, 2024 to Mar 3, 2025
- Pension RAUM · $14.0M to $11.8MFeb 29, 2024 to Mar 3, 2025
- RAUM · $204M to $239MFeb 29, 2024 to Mar 3, 2025
- Accounts · 1,413 to 971Sep 1, 2023 to Feb 29, 2024
- HNW clients · 54 to 49Sep 1, 2023 to Feb 29, 2024
- Individual clients · 530 to 365Sep 1, 2023 to Feb 29, 2024
- Pension plan clients · 4.0 to unsetSep 1, 2023 to Feb 29, 2024
- Assets in custody · unset to 3122009.0Sep 1, 2023 to Feb 29, 2024
- Custody of client assets · false to trueSep 1, 2023 to Feb 29, 2024
- Financial planning clients · 251-500 to 101-250Sep 1, 2023 to Feb 29, 2024
- Discretionary RAUM · $239M to $203MSep 1, 2023 to Feb 29, 2024
- HNW RAUM · $102M to $104MSep 1, 2023 to Feb 29, 2024
- Individual RAUM · $115M to $85.4MSep 1, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $374,919 to $837,977Sep 1, 2023 to Feb 29, 2024
Signals
2 dated events
- Michael Jon Oconnell left Pfg Private Wealth Management, Llc for Florida Financial Advisors, Llc (registered 2026-01-05)Sep 18, 2025 · Advisor changed firm · fact
- Pfg Private Wealth Management, Llc filed its initial SEC registration (Form ADV)Apr 5, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@pfgprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 813-286-7776reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10529636reportedpublic record, Form ADV, Sep 17, 2026
- Website
- PFGPRIVATEWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 813-286-7776reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- pfgprivatewealth.com/about/team-profilesreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $48.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026