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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jul 18, 2017 · 15 filings
SEC status approved since May 11, 2020
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$203M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$59.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$239M as of Mar 26, 2026
Mar 30, 2021$138M then
HNW client RAUM$202M as of Mar 26, 2026
Mar 30, 2021$125M then
State-registered IARs (5.B.3)4 as of Mar 26, 2026
Mar 30, 20213 then
Employees (5.A)4 as of Mar 26, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $237MreportedItem 5.I
- 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$202M85%
- Corporations and businesses$17.2M7.2%
- Charitable organizations$14.3M6.0%
- Pension and profit-sharing plans$3.9M1.6%
- Individuals$1.3M0.5%
- Individual clients
- n/areported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• T••• M•••••• | San Luis Obispo, Ca | Dec 6, 2017 | 42 y | 0 |
| P••• P•••• B•••••• | San Luis Obispo, Ca | Apr 11, 2019 | 27 y | 4 |
| K•••••• B••••• H••••• | San Luis Obispo, Ca | May 17, 2019 | 15 y | 0 |
| A•• M•••• P•••••• | San Luis Obispo, Ca | Mar 2, 2025 | 21 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- P••• P•••• B•••••• from B••••••• I••••••••• S•••••••• I••• •••••Apr 11, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••••• B••••• · Chief Compliance Officercontrolsince 05/2019 · owns 50% to 75%
- M••••••• J••••• T••• · Managing Directorcontrolsince 07/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- J•••• T••• M••••••y
- K•••••• B••••• H•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Luis Obispo, Ca · principal | 4 | 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
- unusually large average HNW clientStatic outlier · filing Mar 26, 2026HNW RAUM per HNW client of $7,760,452 against a peer median of $2,404,040 (4940 comparable advisers, 98.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 90 to 101Mar 28, 2025 to Mar 26, 2026
- Advisory activities · 4 to 3Mar 28, 2025 to Mar 26, 2026
- HNW clients · 27 to 26Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $196M to $239MMar 28, 2025 to Mar 26, 2026
- HNW RAUM · $170M to $202MMar 28, 2025 to Mar 26, 2026
- Individual RAUM · $450,319 to $1.3MMar 28, 2025 to Mar 26, 2026
- Pension RAUM · $3.4M to $3.9MMar 28, 2025 to Mar 26, 2026
- RAUM · $196M to $239MMar 28, 2025 to Mar 26, 2026
- Accounts · 84 to 90Mar 27, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Mar 28, 2025
- HNW clients · 26 to 27Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- State-registered IARs · 3 to 4Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $175M to $196MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $150M to $170MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $221,817 to $450,319Mar 27, 2024 to Mar 28, 2025
- Pension RAUM · $2.9M to $3.4MMar 27, 2024 to Mar 28, 2025
- RAUM · $175M to $196MMar 27, 2024 to Mar 28, 2025
- Accounts · 79 to 84Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $153M to $175MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $133M to $150MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $180,505 to $221,817Mar 29, 2023 to Mar 27, 2024
- Pension RAUM · $2.4M to $2.9MMar 29, 2023 to Mar 27, 2024
- RAUM · $153M to $175MMar 29, 2023 to Mar 27, 2024
- Accounts · 80 to 79Mar 29, 2022 to Mar 29, 2023
- HNW clients · 19 to 26Mar 29, 2022 to Mar 29, 2023
- Individual clients · 7.0 to unsetMar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $181M to $153MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $159M to $133MMar 29, 2022 to Mar 29, 2023
- Individual RAUM · $3.0M to $180,505Mar 29, 2022 to Mar 29, 2023
- Pension RAUM · $2.5M to $2.4MMar 29, 2022 to Mar 29, 2023
- RAUM · $181M to $153MMar 29, 2022 to Mar 29, 2023
- Accounts · 56 to 80Mar 30, 2021 to Mar 29, 2022
- HNW clients · 17 to 19Mar 30, 2021 to Mar 29, 2022
- Individual clients · 4 to 7Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $138M to $181MMar 30, 2021 to Mar 29, 2022
- HNW RAUM · $125M to $159MMar 30, 2021 to Mar 29, 2022
- Individual RAUM · $675,463 to $3.0MMar 30, 2021 to Mar 29, 2022
- Pension RAUM · unset to 2460318.0Mar 30, 2021 to Mar 29, 2022
- RAUM · $138M to $181MMar 30, 2021 to Mar 29, 2022
Signals
2 dated events
- B••••• K•••••• H••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• A••••••• L••Apr 8, 2020 · Control person joined · fact
- P••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jul 18, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• A••••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@prossimoadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-548-2800reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- prossimoadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-548-2800reportedpublic record, Form ADV, Mar 26, 2026
- Team page
- prossimoadvisors.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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $59.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026