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••• S••••• A•••••••• L••
Latest filing Jun 10, 2026
First filing on the tape Jun 28, 2021 · 16 filings
SEC status approved since Jul 29, 2021
RAUM
$463M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$426M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$92.6M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$463M as of Jun 10, 2026
Apr 1, 2022$175M then
HNW client RAUM$333M as of Jun 10, 2026
Apr 1, 2022$109M then
State-registered IARs (5.B.3)5 as of Jun 10, 2026
Apr 1, 20223 then
Employees (5.A)8 as of Jun 10, 2026
Apr 1, 20224 then
Private funds: no history
RAUM +29% over the last fiscal year+37% a year over threeIARs 5 to 5offices 3 to 4
Practice profile
derived from the filing of Jun 10, 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
- RAUM per advisor
- $92.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $751,336derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $140M, 123 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$333M72%
- Individuals$93.4M20%
- Charitable organizations$36.5M7.9%
- Individual clients
- 110reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 616reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $140M for 123 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• S••••• A••••• O•••••Certified Financial Planner | New Orleans, La | Jul 13, 2016 | 16 y | 1 |
| D•••• D•••• | Newton, Ma | Mar 10, 2017 | 20 y | 0 |
| A•••• M•••• S••••••Certified Financial Planner, Chartered Financial Analyst | Newton, Ma | Oct 13, 2020 | 32 y | 0 |
| A••••• J••• P•••••••••Certified Financial Planner | Pitttsburgh, Pa | Jan 5, 2024 | 20 y | 0 |
| C••••••••• J••••••••• C••••• | Marietta, Ga | Jan 11, 2024 | 14 y | 0 |
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 headcount1 left over 36 months
Left, latest
- K••••• D••••••••• T••••• to L•• E••••••••• L••May 28, 2024 · RIA to a newly registered adviser
Joined, latest
- J•••• S••••• A••••• O••••• from B••••Jul 13, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• D•••• · Member, Partner, Chief Compliance Officercontrolsince 11/2016 · owns 50% to 75%
- O•••••• J••••• S••••• A••••• · Member, Partnercontrolsince 05/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Newton, Ma | 4 | 0 | 0 | ||
| Ithaca, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newton, MA5 employees
What changed
consecutive filings, newest first
- Accounts · 574 to 616Mar 29, 2025 to Mar 31, 2026
- HNW clients · 62 to 65Mar 29, 2025 to Mar 31, 2026
- Individual clients · 100 to 110Mar 29, 2025 to Mar 31, 2026
- Assets in custody · $85.0M to $140MMar 29, 2025 to Mar 31, 2026
- Employees · 7 to 8Mar 29, 2025 to Mar 31, 2026
- Other offices · 3 to 4Mar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $359M to $463MMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $238M to $333MMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $92.6M to $93.4MMar 29, 2025 to Mar 31, 2026
- RAUM · $359M to $463MMar 29, 2025 to Mar 31, 2026
- Accounts · 464 to 574Jul 12, 2024 to Mar 29, 2025
- Advisory employees · 6 to 5Jul 12, 2024 to Mar 29, 2025
- Charity clients · 7 to 8Jul 12, 2024 to Mar 29, 2025
- Individual clients · 78 to 100Jul 12, 2024 to Mar 29, 2025
- Assets in custody · $61.8M to $85.0MJul 12, 2024 to Mar 29, 2025
- Employees · 8 to 7Jul 12, 2024 to Mar 29, 2025
- Financial planning clients · 101-250 to 101-250Jul 12, 2024 to Mar 29, 2025
- HQ city · unset to Jul 12, 2024 to Mar 29, 2025
- HQ state · unset to Jul 12, 2024 to Mar 29, 2025
- State-registered IARs · 6 to 5Jul 12, 2024 to Mar 29, 2025
- Other offices · 1 to 3Jul 12, 2024 to Mar 29, 2025
- Discretionary RAUM · $261M to $359MJul 12, 2024 to Mar 29, 2025
- HNW RAUM · $207M to $238MJul 12, 2024 to Mar 29, 2025
- Individual RAUM · $35.0M to $92.6MJul 12, 2024 to Mar 29, 2025
- RAUM · $261M to $359MJul 12, 2024 to Mar 29, 2025
- Accounts · 364 to 464Jan 4, 2024 to Mar 30, 2024
- Advisory employees · 4 to 6Jan 4, 2024 to Mar 30, 2024
- Charity clients · 5 to 7Jan 4, 2024 to Mar 30, 2024
- HNW clients · 46 to 62Jan 4, 2024 to Mar 30, 2024
- Individual clients · 73 to 78Jan 4, 2024 to Mar 30, 2024
- Assets in custody · $38.6M to $61.8MJan 4, 2024 to Mar 30, 2024
- Employees · 6 to 8Jan 4, 2024 to Mar 30, 2024
- State-registered IARs · 4 to 6Jan 4, 2024 to Mar 30, 2024
- Discretionary RAUM · $181M to $261MJan 4, 2024 to Mar 30, 2024
- HNW RAUM · $116M to $207MJan 4, 2024 to Mar 30, 2024
- Individual RAUM · $51.1M to $35.0MJan 4, 2024 to Mar 30, 2024
- RAUM · $181M to $261MJan 4, 2024 to Mar 30, 2024
- Advisory activities · 3 to 4May 17, 2023 to Sep 1, 2023
- Accounts · 304 to 364Nov 7, 2022 to Mar 31, 2023
- Advisory employees · 3 to 4Nov 7, 2022 to Mar 31, 2023
Signals
3 dated events
- P••• S••••• A•••••••• L•• reported RAUM $462.8M, up 29% from $359.4M (2025-03-29 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K••••• D••••••••• T••••• left P••• S••••• A•••••••• L•• for L•• E••••••••• L•• (registered 2024-12-06)May 28, 2024 · Advisor changed firm · fact
- P••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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 phone
- 800-983-6335reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P•••S•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 504-517-5107reportedpublic record, Form ADV, Jun 10, 2026
- Team page
- plumstreetadvisors.com/our-team-2reportedpublished 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
- $92.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026