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••••••• I••••••••• G••••• L••

Former SEC-registered adviserSierra Madre, CaliforniaCRD 283418SEC 801-112518IAPD
Latest filing Mar 18, 2022
First filing on the tape May 13, 2016 · 22 filings
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$144M as of Mar 18, 2022
Feb 7, 2019$106M then
HNW client RAUM$143M as of Mar 18, 2022
Mar 11, 2021$119M then
State-registered IARs (5.B.3)1 as of Mar 18, 2022
Feb 7, 20191 then
Employees (5.A)2 as of Mar 18, 2022
Feb 7, 20193 then
Private funds: no history
RAUM +20% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$144MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
229derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$676,636derivedHNW RAUM over HNW clients
Average account
$625,222derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+205%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$143M99%
  • Pension and profit-sharing plans$944,9470.7%
  • Individuals$711,1000.5%
Individual clients
18reported
HNW clients
211reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
231reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • M•••••• T•••••• A••••• · Managing Member And Chief Compliance Officercontrol
        since 06/2016 · 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
      • Accounts · 226 to 231
        Jul 21, 2021 to Mar 18, 2022
      • BD registered reps · 0 to 1
        Jul 21, 2021 to Mar 18, 2022
      • HNW clients · 65 to 211
        Jul 21, 2021 to Mar 18, 2022
      • Individual clients · 10 to 18
        Jul 21, 2021 to Mar 18, 2022
      • Pension plan clients · unset to 2.0
        Jul 21, 2021 to Mar 18, 2022
      • Assets in custody · 73486747.0 to unset
        Jul 21, 2021 to Mar 18, 2022
      • Custody of client assets · true to false
        Jul 21, 2021 to Mar 18, 2022
      • Discretionary RAUM · $120M to $144M
        Jul 21, 2021 to Mar 18, 2022
      • HNW RAUM · $119M to $143M
        Jul 21, 2021 to Mar 18, 2022
      • Individual RAUM · $100,952 to $711,100
        Jul 21, 2021 to Mar 18, 2022
      • Pension RAUM · $847,823 to $944,947
        Jul 21, 2021 to Mar 18, 2022
      • RAUM · $120M to $144M
        Jul 21, 2021 to Mar 18, 2022
      • Related broker-dealer · false to true
        Jul 21, 2021 to Mar 18, 2022
      • HQ city · PASADENA to SIERRA MADRE
        Mar 11, 2021 to Jul 21, 2021
      • Accounts · 254 to 226
        Jun 22, 2020 to Mar 11, 2021
      • Advisory employees · 2 to 1
        Jun 22, 2020 to Mar 11, 2021
      • HNW clients · unset to 65.0
        Jun 22, 2020 to Mar 11, 2021
      • Individual clients · 252 to 10
        Jun 22, 2020 to Mar 11, 2021
      • Assets in custody · $119M to $73.5M
        Jun 22, 2020 to Mar 11, 2021
      • Employees · 3 to 2
        Jun 22, 2020 to Mar 11, 2021
      • State-registered IARs · 2 to 1
        Jun 22, 2020 to Mar 11, 2021
      • Discretionary RAUM · $145M to $120M
        Jun 22, 2020 to Mar 11, 2021
      • HNW RAUM · unset to 119477780.0
        Jun 22, 2020 to Mar 11, 2021
      • Individual RAUM · $144M to $100,952
        Jun 22, 2020 to Mar 11, 2021
      • Pension RAUM · $712,836 to $847,823
        Jun 22, 2020 to Mar 11, 2021
      • RAUM · $145M to $120M
        Jun 22, 2020 to Mar 11, 2021
      • Accounts · 202 to 254
        Sep 20, 2019 to Feb 27, 2020
      • Advisory employees · 1 to 2
        Sep 20, 2019 to Feb 27, 2020
      • Charity clients · 2.0 to unset
        Sep 20, 2019 to Feb 27, 2020
      • Individual clients · 198 to 252
        Sep 20, 2019 to Feb 27, 2020
      • Pension plan clients · 2.0 to unset
        Sep 20, 2019 to Feb 27, 2020
      • Assets in custody · unset to 119159049.0
        Sep 20, 2019 to Feb 27, 2020
      • Custody of client assets · false to true
        Sep 20, 2019 to Feb 27, 2020
      • State-registered IARs · 1 to 2
        Sep 20, 2019 to Feb 27, 2020
      • Discretionary RAUM · $106M to $145M
        Sep 20, 2019 to Feb 27, 2020
      • Individual RAUM · $105M to $144M
        Sep 20, 2019 to Feb 27, 2020
      • Pension RAUM · $510,724 to $712,836
        Sep 20, 2019 to Feb 27, 2020
      • RAUM · $106M to $145M
        Sep 20, 2019 to Feb 27, 2020
      • Accounts · 163 to 202
        Mar 14, 2018 to Feb 7, 2019
      • Charity clients · unset to 2.0
        Mar 14, 2018 to Feb 7, 2019
      Signals
      1 dated events
      • P••••••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Jan 26, 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.
      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