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••••••••• S••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Sep 19, 2017 · 16 filings
SEC status approved since Oct 19, 2017
RAUM
$104,581
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104,581 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$104,581 as of Mar 25, 2026
Mar 20, 2018$417M then
HNW client RAUM$3.0M as of Mar 30, 2021
Mar 20, 2018$43.9M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 20, 20180 then
Employees (5.A)5 as of Mar 25, 2026
Mar 20, 201816 then
Private funds: no history
RAUM -51% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $104,581derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -51%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$104,581100%
- Individual clients
- 1reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• M•••••• · Chief Investment Officercontrolsince 03/2000 · owns less than 5%
- G••••• O••• · Directorcontrolsince 06/1988 · owns less than 5%
- G••••• D•••• · Chief Executive Officer; Directorcontrolsince 02/2010 · owns less than 5%
- P•••••• A••••••••• · Chief Operations Officer; Chief Compliance Officer; Hr Managercontrolsince 02/1997 · owns less than 5%
Entity owners
- P•••••• I••••••••• L•• · Ownerdirect · owns 75% or more
- I••••• I••••••••• G•••• L•••••• · Ownerindirect · owns 75% or more of P•••••• I••••••••• L••.
Related persons
Schedule D 7.A
- P•••••• F••••• O•••••• L••investment adviseryRAUM $957M
Advisers that list P•••••• A••••••••• S••••••• L•• as a related person
- 142856 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $214,799 to $104,581Mar 31, 2025 to Mar 25, 2026
- Individual RAUM · $214,799 to $104,581Mar 31, 2025 to Mar 25, 2026
- RAUM · $214,799 to $104,581Mar 31, 2025 to Mar 25, 2026
- Accounts · 3 to 1Mar 27, 2024 to Mar 31, 2025
- Individual clients · 3 to 1Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to Mar 27, 2024 to Mar 31, 2025
- HQ state · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0M to $214,799Mar 27, 2024 to Mar 31, 2025
- Individual RAUM · $1.0M to $214,799Mar 27, 2024 to Mar 31, 2025
- RAUM · $1.0M to $214,799Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3M to $1.0MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $1.3M to $1.0MMar 28, 2023 to Mar 27, 2024
- RAUM · $1.3M to $1.0MMar 28, 2023 to Mar 27, 2024
- Financial planning clients · unset to 0Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.7M to $1.3MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · $1.7M to $1.3MMar 28, 2022 to Mar 28, 2023
- RAUM · $1.7M to $1.3MMar 28, 2022 to Mar 28, 2023
- Accounts · 6 to 3Jul 12, 2021 to Mar 28, 2022
- Corporate clients · 1.0 to unsetJul 12, 2021 to Mar 28, 2022
- HNW clients · 5.0 to unsetJul 12, 2021 to Mar 28, 2022
- Individual clients · unset to 3.0Jul 12, 2021 to Mar 28, 2022
- Discretionary RAUM · $4.5M to $1.7MJul 12, 2021 to Mar 28, 2022
- HNW RAUM · 3038895.0 to unsetJul 12, 2021 to Mar 28, 2022
- Individual RAUM · unset to 1740958.0Jul 12, 2021 to Mar 28, 2022
- RAUM · $4.5M to $1.7MJul 12, 2021 to Mar 28, 2022
- Accounts · 23 to 6Jun 29, 2020 to Mar 30, 2021
- Corporate clients · 12 to 1Jun 29, 2020 to Mar 30, 2021
- HNW clients · 11 to 5Jun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $44.8M to $4.5MJun 29, 2020 to Mar 30, 2021
- HNW RAUM · $13.9M to $3.0MJun 29, 2020 to Mar 30, 2021
- RAUM · $44.8M to $4.5MJun 29, 2020 to Mar 30, 2021
- Accounts · 177 to 23Jan 9, 2020 to Mar 27, 2020
- Advisory employees · 4 to 1Jan 9, 2020 to Mar 27, 2020
- Corporate clients · 132 to 12Jan 9, 2020 to Mar 27, 2020
- HNW clients · 45 to 11Jan 9, 2020 to Mar 27, 2020
- Employees · 16 to 5Jan 9, 2020 to Mar 27, 2020
- Discretionary RAUM · $184M to $44.8MJan 9, 2020 to Mar 27, 2020
- HNW RAUM · $37.6M to $13.9MJan 9, 2020 to Mar 27, 2020
- Non-discretionary RAUM · $195M to $0Jan 9, 2020 to Mar 27, 2020
- RAUM · $379M to $44.8MJan 9, 2020 to Mar 27, 2020
Signals
2 dated events
- P•••••• A••••••••• S••••••• L•• reported RAUM $44.8M, down 88% from $379.5M (2020-01-09 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- P•••••• A••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 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
- Website
- w••.p••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 972-9-9611300reportedpublic record, Form ADV, Mar 25, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026