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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Former SEC-registered adviser
P•••• W••••• A•••••••• L••
Latest filing Jan 17, 2018
First filing on the tape Aug 31, 2017 · 6 filings
RAUM
$44.1M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
95%
$41.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$44.1M as of Jan 17, 2018
Aug 31, 2017$0 then
HNW client RAUM$34.2M as of Jan 17, 2018
Oct 2, 2017$0 then
State-registered IARs (5.B.3)1 as of Jan 17, 2018
Aug 31, 20171 then
Employees (5.A)1 as of Jan 17, 2018
Aug 31, 20171 then
Private funds: no history
Practice profile
derived from the filing of Jan 17, 2018; every figure names its basis
- RAUM per advisor
- $44.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $344,524derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $12.5MreportedItem 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$34.2M77%
- Individuals$7.8M18%
- Pension and profit-sharing plans$2.2M4.9%
- Individual clients
- 31reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 128reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- S••••• J•••••• N••••• · Managing Member & Chief Compliance Officercontrolsince 10/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Walnut Creek, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 128Nov 3, 2017 to Dec 18, 2017
- HNW clients · unset to 24.0Nov 3, 2017 to Dec 18, 2017
- Individual clients · unset to 31.0Nov 3, 2017 to Dec 18, 2017
- Pooled vehicle clients · 0.0 to unsetNov 3, 2017 to Dec 18, 2017
- Discretionary RAUM · $0 to $41.9MNov 3, 2017 to Dec 18, 2017
- HNW RAUM · $0 to $34.2MNov 3, 2017 to Dec 18, 2017
- Individual RAUM · $0 to $7.8MNov 3, 2017 to Dec 18, 2017
- Non-discretionary RAUM · $0 to $2.2MNov 3, 2017 to Dec 18, 2017
- Pension RAUM · $0 to $2.2MNov 3, 2017 to Dec 18, 2017
- Pooled vehicle RAUM · 0.0 to unsetNov 3, 2017 to Dec 18, 2017
- RAUM · $0 to $44.1MNov 3, 2017 to Dec 18, 2017
- Wrap assets (manager) · unset to 0.0Nov 3, 2017 to Dec 18, 2017
- Wrap assets (sponsor) · unset to 0.0Nov 3, 2017 to Dec 18, 2017
- Pooled vehicle clients · unset to 0.0Aug 31, 2017 to Oct 2, 2017
- Other offices · unset to 1.0Aug 31, 2017 to Oct 2, 2017
- HNW RAUM · unset to 0.0Aug 31, 2017 to Oct 2, 2017
- Individual RAUM · unset to 0.0Aug 31, 2017 to Oct 2, 2017
- Pension RAUM · unset to 0.0Aug 31, 2017 to Oct 2, 2017
- Pooled vehicle RAUM · unset to 0.0Aug 31, 2017 to Oct 2, 2017
Signals
1 dated events
- P•••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 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.
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
- Former SEC-registered adviserderiveda 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