DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• P•••
Legal name C•••••• P••• A••••••• I•••
Latest filing Oct 31, 2025
First filing on the tape Jan 8, 2018 · 11 filings
SEC status approved since Feb 8, 2018
RAUM
$47.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$47.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 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$47.4M as of Oct 31, 2025
Feb 8, 2018$0 then
HNW client RAUM$32.7M as of Oct 31, 2025
Oct 29, 2020$23.5M then
State-registered IARs (5.B.3)1 as of Oct 31, 2025
Feb 8, 20181 then
Employees (5.A)3 as of Oct 31, 2025
Feb 8, 20182 then
Private funds: no history
RAUM +30% over the last fiscal year+6.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 31, 2025; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $632,125derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$32.7M69%
- Individuals$14.7M31%
- Individual clients
- 60reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 75reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
- B••••• N•••••••• P••• S•••• · President & Ccocontrolsince 12/2015 · owns less than 5%
- B••••• N•••••••• P••• S•••• · Trusteecontrolsince 12/2015 · owns 75% or more of B•••• F••••• T••••
Entity owners
- B•••• F••••• T•••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••••• P•••••••• L••investment adviseryRAUM $30.4M
Advisers that list C•••••• P••• as a related person
- 288935 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 66 to 75Oct 22, 2024 to Oct 31, 2025
- HNW clients · 14 to 15Oct 22, 2024 to Oct 31, 2025
- Individual clients · 52 to 60Oct 22, 2024 to Oct 31, 2025
- Financial planning clients · 0 to 0Oct 22, 2024 to Oct 31, 2025
- HQ state · unset to Oct 22, 2024 to Oct 31, 2025
- Discretionary RAUM · $40.8M to $47.4MOct 22, 2024 to Oct 31, 2025
- HNW RAUM · $30.0M to $32.7MOct 22, 2024 to Oct 31, 2025
- Individual RAUM · $10.8M to $14.7MOct 22, 2024 to Oct 31, 2025
- RAUM · $40.8M to $47.4MOct 22, 2024 to Oct 31, 2025
- Accounts · 61 to 66Oct 31, 2023 to Oct 22, 2024
- Individual clients · 47 to 52Oct 31, 2023 to Oct 22, 2024
- Pooled vehicle clients · 0 to 1Oct 31, 2023 to Oct 22, 2024
- Discretionary RAUM · $36.3M to $40.8MOct 31, 2023 to Oct 22, 2024
- HNW RAUM · $25.8M to $30.0MOct 31, 2023 to Oct 22, 2024
- Individual RAUM · $10.6M to $10.8MOct 31, 2023 to Oct 22, 2024
- RAUM · $36.3M to $40.8MOct 31, 2023 to Oct 22, 2024
- Accounts · 59 to 61Oct 28, 2022 to Oct 31, 2023
- Advisory employees · 1 to 2Oct 28, 2022 to Oct 31, 2023
- Individual clients · 45 to 47Oct 28, 2022 to Oct 31, 2023
- Pooled vehicle clients · unset to 0.0Oct 28, 2022 to Oct 31, 2023
- Employees · 2 to 3Oct 28, 2022 to Oct 31, 2023
- Discretionary RAUM · $38.6M to $36.3MOct 28, 2022 to Oct 31, 2023
- HNW RAUM · $24.4M to $25.8MOct 28, 2022 to Oct 31, 2023
- Individual RAUM · $14.2M to $10.6MOct 28, 2022 to Oct 31, 2023
- Pooled vehicle RAUM · unset to 0.0Oct 28, 2022 to Oct 31, 2023
- RAUM · $38.6M to $36.3MOct 28, 2022 to Oct 31, 2023
- Accounts · 48 to 59Oct 29, 2021 to Oct 28, 2022
- Individual clients · 34 to 45Oct 29, 2021 to Oct 28, 2022
- Discretionary RAUM · $38.9M to $38.6MOct 29, 2021 to Oct 28, 2022
- HNW RAUM · $27.1M to $24.4MOct 29, 2021 to Oct 28, 2022
- Individual RAUM · $11.9M to $14.2MOct 29, 2021 to Oct 28, 2022
- RAUM · $38.9M to $38.6MOct 29, 2021 to Oct 28, 2022
- Accounts · 39 to 48Oct 29, 2020 to Oct 29, 2021
- HNW clients · 15 to 14Oct 29, 2020 to Oct 29, 2021
- Individual clients · 24 to 34Oct 29, 2020 to Oct 29, 2021
- Discretionary RAUM · $30.0M to $38.9MOct 29, 2020 to Oct 29, 2021
- HNW RAUM · $23.5M to $27.1MOct 29, 2020 to Oct 29, 2021
- Individual RAUM · $6.4M to $11.9MOct 29, 2020 to Oct 29, 2021
- RAUM · $30.0M to $38.9MOct 29, 2020 to Oct 29, 2021
- Accounts · 0 to 39Oct 29, 2019 to Oct 29, 2020
Signals
1 dated events
- C•••••• P••• filed its initial SEC registration (Form ADV)Jan 8, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 6043733388reportedpublic record, Form ADV, Oct 31, 2025
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