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.
Former SEC-registered adviser
P•••••• A••••••• G••••
Legal name F•••• P••••••• C•••••••• I•••
Latest filing Dec 14, 2018
First filing on the tape Oct 4, 2017 · 11 filings
RAUM
$79.8M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$79.8M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$79.8M as of Dec 14, 2018
Oct 4, 2017$0 then
HNW client RAUM$0 as of Dec 14, 2018
Mar 8, 2018$0 then
State-registered IARs (5.B.3)1 as of Dec 14, 2018
Oct 4, 20171 then
Employees (5.A)1 as of Dec 14, 2018
Oct 4, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 14, 2018; every figure names its basis
- RAUM per advisor
- $79.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 295derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $270,519derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, otherreportedItem 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
- 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
- Individuals$79.8M100%
- Individual clients
- 295reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 295reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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
- W•••••• D•••• F•••• to M••• W•••••Jul 18, 2024 · RIA to RIA
- W••••• K•••••••• to S•••• F••• I••••••••• M••••••••• C••••Dec 22, 2023 · Other
- D••••• F•••••• B•••••••• to S•••••• H•••• • J•••• I••Jan 31, 2022 · RIA to RIA
Joined, latest
- D••••• F•••••• B•••••••• from C•• S••••••••• L••Nov 27, 2018 · Other
- W•••••• D•••• F•••• from S••Nov 10, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• W••••••• D•••• · President & Chief Compliance Officercontrolsince 02/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · 55679005.0 to unsetOct 29, 2018 to Nov 15, 2018
- Custody of client assets · true to falseOct 29, 2018 to Nov 15, 2018
- BD registered reps · 1 to 0Sep 21, 2018 to Sep 27, 2018
- Business name · F•••• P••••••• C•••••••• I••• to P•••••• A••••••• G••••Sep 21, 2018 to Sep 27, 2018
- Accounts · 1,060 to 295Mar 8, 2018 to Sep 21, 2018
- Advisory activities · 2 to 3Mar 8, 2018 to Sep 21, 2018
- Individual clients · 393 to 295Mar 8, 2018 to Sep 21, 2018
- Assets in custody · unset to 55679005.0Mar 8, 2018 to Sep 21, 2018
- Custody of client assets · false to trueMar 8, 2018 to Sep 21, 2018
- Financial planning clients · 251-500 to 0Mar 8, 2018 to Sep 21, 2018
- Discretionary RAUM · $74.8M to $77.7MMar 8, 2018 to Sep 21, 2018
- Individual RAUM · $100M to $79.8MMar 8, 2018 to Sep 21, 2018
- Non-discretionary RAUM · $25.4M to $2.1MMar 8, 2018 to Sep 21, 2018
- RAUM · $100M to $79.8MMar 8, 2018 to Sep 21, 2018
- Accounts · 0 to 1,060Feb 5, 2018 to Mar 8, 2018
- Advisory activities · 1 to 2Feb 5, 2018 to Mar 8, 2018
- Charity clients · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Corporate clients · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- HNW clients · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Individual clients · unset to 393.0Feb 5, 2018 to Mar 8, 2018
- Pension plan clients · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Pooled vehicle clients · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Financial planning clients · unset to 251-500Feb 5, 2018 to Mar 8, 2018
- Other offices · 1 to 0Feb 5, 2018 to Mar 8, 2018
- Discretionary RAUM · $0 to $74.8MFeb 5, 2018 to Mar 8, 2018
- HNW RAUM · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Individual RAUM · unset to 100187987.0Feb 5, 2018 to Mar 8, 2018
- Non-discretionary RAUM · $0 to $25.4MFeb 5, 2018 to Mar 8, 2018
- Pension RAUM · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- Pooled vehicle RAUM · unset to 0.0Feb 5, 2018 to Mar 8, 2018
- RAUM · $0 to $100MFeb 5, 2018 to Mar 8, 2018
- Business name · F•••• P••••••• C••••••• to F•••• P••••••• C•••••••• I•••Oct 4, 2017 to Feb 5, 2018
- Legal name · F•••• P••••••• C••••••• to F•••• P••••••• C•••••••• I•••Oct 4, 2017 to Feb 5, 2018
Signals
4 dated events
- W•••••• D•••• F•••• left P•••••• A••••••• G•••• for M••• W••••• (registered 2021-04-28)Jul 18, 2024 · Advisor changed firm · fact
- W••••• K•••••••• left P•••••• A••••••• G•••• for S•••• F••• I••••••••• M••••••••• C•••• (registered 2024-01-03)Dec 22, 2023 · Advisor changed firm · fact
- D••••• F•••••• B•••••••• left P•••••• A••••••• G•••• for S•••••• H•••• • J•••• I•• (registered 2021-06-09)Jan 31, 2022 · Advisor changed firm · fact
- F•••• P••••••• C••••••• filed its initial SEC registration (Form ADV)Oct 4, 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