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•••••• W••••• S••••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jul 31, 2017 · 23 filings
SEC status approved since Sep 1, 2017
RAUM
$500M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$500M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$500M as of Feb 17, 2026
Jan 3, 2018$132M then
HNW client RAUM$430M as of Feb 17, 2026
Jan 3, 2018$95.0M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Jan 3, 20182 then
Employees (5.A)5 as of Feb 17, 2026
Jan 3, 20182 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $714,286derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $158M, 116 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$430M86%
- Individuals$70.0M14%
- Individual clients
- 160reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 700reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 116 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• N•• M•••••••• | Calabasas, Ca | Sep 1, 2017 | 32 y | 0 |
| D•••••• J•••• L••••••••• | Calabasas, Ca | Sep 5, 2017 | 34 y | 2 |
| K••••••• V•••••• M••••• | Calabasas, Ca | Apr 5, 2024 | 21 y | 4 |
| E••• O••••• P••••••Certified Financial Planner | Calabasas, Ca | Apr 22, 2025 | 13 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
- K••••••• V•••••• M••••• from S•••••• F••••• F•••••••• A•••••••Apr 5, 2024 · RIA to RIA
- D•••••• J•••• L••••••••• from K••••• A•••••••• I•••Sep 5, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• D••••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 09/2017 · owns 50% to 75%
- M••••••••• A••••• N•• · Managing Membercontrolsince 09/2017 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Calabasas, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 17, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
- account count collapseChange between filings · filing Feb 17, 2026accounts (Item 5.F.2.f) moved from 1,077.0 to 700.0 (-35.0%) between the annual amendments of 2025-03-20 and 2026-02-17; the peer median change was +6.0% (1256 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 2.5% percentile
What changed
consecutive filings, newest first
- Accounts · 1,077 to 700Oct 31, 2025 to Feb 17, 2026
- Advisory employees · 4 to 2Oct 31, 2025 to Feb 17, 2026
- HNW clients · 122 to 115Oct 31, 2025 to Feb 17, 2026
- Employees · 4 to 5Oct 31, 2025 to Feb 17, 2026
- Insurance-licensed employees · 4 to 0Oct 31, 2025 to Feb 17, 2026
- State-registered IARs · 0 to 2Oct 31, 2025 to Feb 17, 2026
- HNW RAUM · $340M to $430MOct 31, 2025 to Feb 17, 2026
- Individual RAUM · $63.3M to $70.0MOct 31, 2025 to Feb 17, 2026
- Non-discretionary RAUM · $403M to $500MOct 31, 2025 to Feb 17, 2026
- RAUM · $403M to $500MOct 31, 2025 to Feb 17, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Oct 31, 2025
- Accounts · 912 to 1,077Jun 25, 2024 to Feb 14, 2025
- Advisory employees · 1 to 4Jun 25, 2024 to Feb 14, 2025
- BD registered reps · 0 to 2Jun 25, 2024 to Feb 14, 2025
- Charity clients · 1.0 to unsetJun 25, 2024 to Feb 14, 2025
- HNW clients · 98 to 122Jun 25, 2024 to Feb 14, 2025
- Individual clients · 168 to 160Jun 25, 2024 to Feb 14, 2025
- Employees · 2 to 4Jun 25, 2024 to Feb 14, 2025
- Insurance-licensed employees · 0 to 4Jun 25, 2024 to Feb 14, 2025
- State-registered IARs · 1 to 0Jun 25, 2024 to Feb 14, 2025
- HNW RAUM · $280M to $340MJun 25, 2024 to Feb 14, 2025
- Individual RAUM · $75.4M to $63.3MJun 25, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $359M to $403MJun 25, 2024 to Feb 14, 2025
- RAUM · $359M to $403MJun 25, 2024 to Feb 14, 2025
- HQ city · WOODLAND HILLS to CALABASASApr 8, 2024 to Jun 25, 2024
- Accounts · 761 to 912Mar 6, 2023 to Mar 12, 2024
- Advisory employees · 3 to 1Mar 6, 2023 to Mar 12, 2024
- BD registered reps · 2 to 0Mar 6, 2023 to Mar 12, 2024
- Charity clients · unset to 1.0Mar 6, 2023 to Mar 12, 2024
- HNW clients · 96 to 98Mar 6, 2023 to Mar 12, 2024
- Individual clients · 185 to 168Mar 6, 2023 to Mar 12, 2024
- Assets in custody · $145M to $158MMar 6, 2023 to Mar 12, 2024
- Employees · 3 to 2Mar 6, 2023 to Mar 12, 2024
- State-registered IARs · 3 to 1Mar 6, 2023 to Mar 12, 2024
- HNW RAUM · $235M to $280MMar 6, 2023 to Mar 12, 2024
- Individual RAUM · $60.5M to $75.4MMar 6, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $295M to $359MMar 6, 2023 to Mar 12, 2024
- RAUM · $295M to $359MMar 6, 2023 to Mar 12, 2024
- Accounts · 1,761 to 761Feb 28, 2022 to Mar 6, 2023
- HNW clients · 95 to 96Feb 28, 2022 to Mar 6, 2023
Signals
2 dated events
- P•••••• W••••• S••••••••• L•• reported RAUM $345.6M, up 47% from $235.0M (2021-02-03 to 2022-02-28)Feb 28, 2022 · RAUM change · derived
- P•••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 2017 · 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 email
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-666-3519reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-264-0600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 954-782-4771reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••WEALTHS••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-264-0600reportedpublic record, Form ADV, Feb 17, 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026