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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SEC-registered adviser
P••••• A•••••••• L••
Latest filing Aug 14, 2026
First filing on the tape May 21, 2018 · 12 filings
SEC status approved since Jun 20, 2018
RAUM
$214M
reported, Item 5.F
Discretionary
19%
of RAUM
Private clients
99%
$211M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$214M as of Aug 14, 2026
Mar 14, 2019$117M then
HNW client RAUM$211M as of Aug 14, 2026
Mar 14, 2019$117M then
State-registered IARs (5.B.3)1 as of Aug 14, 2026
Mar 14, 20191 then
Employees (5.A)1 as of Aug 14, 2026
Mar 14, 20191 then
Private funds1 as of Aug 14, 2026
Mar 29, 20242 then
RAUM +14% over the last fiscal year+4.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $30.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 19%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
- +14%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $13.0M, 7 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$211M99%
- Pooled investment vehicles$2.5M1.2%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13.0M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• T••••• C•••••Chartered Financial Analyst | Atlanta, Ga | Jun 22, 2016 | 17 y | 1 |
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
- B•••••• T••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 22, 2016 · Wirehouse to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• M••••• L• | Other Private Fund | $2.6M | 6 | Mar 29, 2024 |
| P••••• H•••• L••• S•• • A••••••••• F•••• L•• | Venture Capital Fund | $760,000 | 8 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• B••••••• T••••• · Founder/Chief Investment Officer/Chief Compliance Officercontrolsince 03/2016 · 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 · 155 to 135Mar 18, 2025 to Mar 24, 2026
- Pooled vehicle clients · 2 to 1Mar 18, 2025 to Mar 24, 2026
- Assets in custody · $5.7M to $13.0MMar 18, 2025 to Mar 24, 2026
- Discretionary RAUM · $30.0M to $39.8MMar 18, 2025 to Mar 24, 2026
- HNW RAUM · $185M to $211MMar 18, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $157M to $174MMar 18, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $2.6M to $2.5MMar 18, 2025 to Mar 24, 2026
- RAUM · $187M to $214MMar 18, 2025 to Mar 24, 2026
- Accounts · 160 to 155Mar 29, 2024 to Mar 18, 2025
- Assets in custody · $2.1M to $5.7MMar 29, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 18, 2025
- Private funds · 2 to 1Mar 29, 2024 to Mar 18, 2025
- Discretionary RAUM · $28.6M to $30.0MMar 29, 2024 to Mar 18, 2025
- HNW RAUM · $171M to $185MMar 29, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $146M to $157MMar 29, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $3.3M to $2.6MMar 29, 2024 to Mar 18, 2025
- RAUM · $174M to $187MMar 29, 2024 to Mar 18, 2025
- Accounts · 134 to 160Feb 21, 2023 to Mar 29, 2024
- Advisory activities · 3 to 4Feb 21, 2023 to Mar 29, 2024
- HNW clients · 6 to 7Feb 21, 2023 to Mar 29, 2024
- Pooled vehicle clients · unset to 2.0Feb 21, 2023 to Mar 29, 2024
- Assets in custody · $4.9M to $2.1MFeb 21, 2023 to Mar 29, 2024
- Private funds · unset to 2Feb 21, 2023 to Mar 29, 2024
- Discretionary RAUM · $23.0M to $28.6MFeb 21, 2023 to Mar 29, 2024
- HNW RAUM · $186M to $171MFeb 21, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $163M to $146MFeb 21, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 3335000.0Feb 21, 2023 to Mar 29, 2024
- RAUM · $186M to $174MFeb 21, 2023 to Mar 29, 2024
- Accounts · 133 to 134Mar 8, 2022 to Feb 21, 2023
- Assets in custody · $2.3M to $4.9MMar 8, 2022 to Feb 21, 2023
- Discretionary RAUM · $24.6M to $23.0MMar 8, 2022 to Feb 21, 2023
- HNW RAUM · $200M to $186MMar 8, 2022 to Feb 21, 2023
- Non-discretionary RAUM · $175M to $163MMar 8, 2022 to Feb 21, 2023
- RAUM · $200M to $186MMar 8, 2022 to Feb 21, 2023
- Accounts · 127 to 133Jul 1, 2021 to Mar 8, 2022
- Assets in custody · $4.4M to $2.3MJul 1, 2021 to Mar 8, 2022
- Discretionary RAUM · $26.2M to $24.6MJul 1, 2021 to Mar 8, 2022
- HNW RAUM · $165M to $200MJul 1, 2021 to Mar 8, 2022
- Non-discretionary RAUM · $139M to $175MJul 1, 2021 to Mar 8, 2022
- RAUM · $165M to $200MJul 1, 2021 to Mar 8, 2022
Signals
1 dated events
- P••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- a••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 678-666-5380reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 678-666-5380reportedpublic record, Form ADV, Aug 14, 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026