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••• A••••• W••••• M••••••••• L••

Former SEC-registered adviserLivonia, MichiganCRD 290698SEC 801-112574IAPD
Latest filing Apr 24, 2019
First filing on the tape Feb 5, 2018 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
9 filings and snapshots on the tape
RAUM$70.0M as of Mar 8, 2018
Feb 5, 2018$70.0M then
HNW client RAUM$60.0M as of Mar 8, 2018
Feb 5, 2018$60.0M then
State-registered IARs (5.B.3)1 as of Apr 24, 2019
Feb 5, 20183 then
Employees (5.A)1 as of Apr 24, 2019
Feb 5, 20183 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 24, 2019; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
otherreportedItem 5.E
Advisory activities
financial planning, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• J••••••••• A•••• · Managing Member & Chief Compliance Officercontrol
    since 02/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Jan 30, 2019 to Apr 24, 2019
  • Advisory activities · 1 to 2
    Jan 30, 2019 to Apr 24, 2019
  • BD registered reps · 2 to 1
    Jan 30, 2019 to Apr 24, 2019
  • Employees · 2 to 1
    Jan 30, 2019 to Apr 24, 2019
  • Financial planning clients · unset to 0
    Jan 30, 2019 to Apr 24, 2019
  • State-registered IARs · 2 to 1
    Jan 30, 2019 to Apr 24, 2019
  • Employees · 3 to 2
    Oct 11, 2018 to Nov 15, 2018
  • Related broker-dealer · false to true
    Oct 11, 2018 to Nov 15, 2018
  • Accounts · 120.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • Advisory employees · 3 to 2
    Mar 8, 2018 to Oct 11, 2018
  • Advisory activities · 2 to 1
    Mar 8, 2018 to Oct 11, 2018
  • BD registered reps · 3 to 2
    Mar 8, 2018 to Oct 11, 2018
  • Charity clients · 2.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • HNW clients · 20.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • Individual clients · 15.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • Commission compensation · true to false
    Mar 8, 2018 to Oct 11, 2018
  • Financial planning clients · 11-25 to unset
    Mar 8, 2018 to Oct 11, 2018
  • State-registered IARs · 3 to 2
    Mar 8, 2018 to Oct 11, 2018
  • Other offices · 0 to 1
    Mar 8, 2018 to Oct 11, 2018
  • Discretionary RAUM · 68000000.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • HNW RAUM · 60000000.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • Individual RAUM · 7000000.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • Non-discretionary RAUM · 2000000.0 to unset
    Mar 8, 2018 to Oct 11, 2018
  • RAUM · 70000000.0 to unset
    Mar 8, 2018 to Oct 11, 2018
Signals
2 dated events
  • Raymond Llewellyn Hayes (Partner & Chief Portfolio Strategist) no longer on Schedule A of P••• A••••• W••••• M••••••••• L•• (listed 2019-01-30, absent 2019-04-24)
    Apr 24, 2019 · Control person left · inference
  • P••• A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Feb 5, 2018 · 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