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••••••• I•••
Latest filing Apr 1, 2026
First filing on the tape Apr 1, 2026 · 1 filings
SEC status approved since Apr 27, 2026
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
45%
$45.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $101M
HNW client RAUM: $42.5M
State-registered IARs (5.B.3): 2
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $7.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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, pension consultingreportedItem 5.G
- Custody
- $46.7M, 38 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pension and profit-sharing plans$52.9M52%
- High-net-worth individuals$42.5M42%
- Individuals$3.4M3.3%
- Corporations and businesses$2.5M2.5%
- Individual clients
- 13reported
- HNW clients
- 13reported
- Pension plan clients
- 46reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.7M for 38 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.52 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 |
|---|---|---|---|---|
| J••• P••• F••••••• | Temecula, Ca | Jan 15, 2020 | 29 y | 4 |
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•••• L••••• to S•••• 4• A•••••••• I•••Dec 31, 2023 · RIA to a state-registered adviser
- M••• P••• D• G••••• J••••• to S••••••••• C••••••• I•••Dec 20, 2021 · RIA to RIA
- I••• R•••••• T••••••••• to G••• W••• M•Dec 20, 2021 · RIA to a state-registered adviser
Joined, latest
- J••• P••• F••••••• from A••••••• A••••••• S•••••••Jan 15, 2020 · Other
- I••• R•••••• T••••••••• from C••••••••• S••••••••• L••Jan 2, 2019 · Affiliated broker-dealer or bank to independent RIA
- M••• P••• D• G••••• J••••• from A••••••• A••••••• S•••••••Feb 15, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Murrieta, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Apr 1, 2026institutional share of RAUM of 52% against a peer median of 0% (5676 comparable advisers, 99.0th percentile, 17.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 99% percentile
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- K•••• D•••• L••••• left P•••••• A••••••• I••• for S•••• 4• A•••••••• I••• (registered 2024-02-08)Dec 31, 2023 · Advisor changed firm · 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@palomaradvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-260-9272reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- palomaradvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-417-5709reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- palomaradvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- palomaradvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026