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
Y••• P•••••• C••••• G••••• I•••
Latest filing Jul 2, 2026
First filing on the tape Feb 6, 2018 · 33 filings
SEC status approved since Mar 13, 2018
RAUM
$237M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$227M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$237M as of Jul 2, 2026
Jan 15, 2019$406M then
HNW client RAUM$188M as of Jul 2, 2026
Jan 15, 2019$0 then
State-registered IARs (5.B.3)2 as of Jul 2, 2026
Jan 15, 20192 then
Employees (5.A)2 as of Jul 2, 2026
Jan 15, 20192 then
Private funds: no history
RAUM +3.5% over the last fiscal year+1.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 2, 2026; 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $591,756derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188M79%
- Individuals$39.4M17%
- Pension and profit-sharing plans$9.4M4.0%
- Individual clients
- 162reported
- HNW clients
- 63reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 400reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• P••••• D•••••••• | Huntington Beach, Ca | Mar 13, 2018 | 18 y | 2 |
| M•••••• E••• D••••••••• | Thousand Oaks, Ca | Jul 10, 2024 | 10 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• E••• D••••••••• from A••••••••• I•••Jul 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••• P••••• D•••••••• from A••••••••• I•••Mar 13, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• T•••• P••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 02/2018 · owns 75% or more
- D••••••••• M••••••• E••• · Vice Presidentsince 10/2024 · owns 10% to 25%
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
- Accounts · 439 to 400Jul 30, 2025 to Jan 12, 2026
- HNW clients · 62 to 63Jul 30, 2025 to Jan 12, 2026
- Individual clients · 180 to 162Jul 30, 2025 to Jan 12, 2026
- Discretionary RAUM · $229M to $237MJul 30, 2025 to Jan 12, 2026
- HNW RAUM · $165M to $188MJul 30, 2025 to Jan 12, 2026
- Individual RAUM · $54.8M to $39.4MJul 30, 2025 to Jan 12, 2026
- Pension RAUM · $8.4M to $9.4MJul 30, 2025 to Jan 12, 2026
- RAUM · $229M to $237MJul 30, 2025 to Jan 12, 2026
- Financial planning clients · unset to Jan 14, 2025 to Jul 30, 2025
- Accounts · 488 to 439Nov 26, 2024 to Jan 14, 2025
- HNW clients · 67 to 62Nov 26, 2024 to Jan 14, 2025
- Individual clients · 172 to 180Nov 26, 2024 to Jan 14, 2025
- HQ city · unset to Nov 26, 2024 to Jan 14, 2025
- HQ state · unset to Nov 26, 2024 to Jan 14, 2025
- Discretionary RAUM · $229M to $229MNov 26, 2024 to Jan 14, 2025
- HNW RAUM · $161M to $165MNov 26, 2024 to Jan 14, 2025
- Individual RAUM · $59.0M to $54.8MNov 26, 2024 to Jan 14, 2025
- Pension RAUM · $8.7M to $8.4MNov 26, 2024 to Jan 14, 2025
- RAUM · $229M to $229MNov 26, 2024 to Jan 14, 2025
- Advisory employees · 1 to 2Jan 22, 2024 to Jul 11, 2024
- Employees · 1 to 2Jan 22, 2024 to Jul 11, 2024
- State-registered IARs · 1 to 2Jan 22, 2024 to Jul 11, 2024
- Accounts · 533 to 488May 30, 2023 to Jan 19, 2024
- HNW clients · 66 to 67May 30, 2023 to Jan 19, 2024
- Individual clients · 230 to 172May 30, 2023 to Jan 19, 2024
- Discretionary RAUM · $225M to $229MMay 30, 2023 to Jan 19, 2024
- HNW RAUM · $161M to $161MMay 30, 2023 to Jan 19, 2024
- Individual RAUM · $62.1M to $59.0MMay 30, 2023 to Jan 19, 2024
- Pension RAUM · $1.7M to $8.7MMay 30, 2023 to Jan 19, 2024
- RAUM · $225M to $229MMay 30, 2023 to Jan 19, 2024
- Accounts · 1,348 to 533Jan 10, 2023 to Jan 17, 2023
- HNW clients · 140 to 66Jan 10, 2023 to Jan 17, 2023
- Individual clients · 552 to 230Jan 10, 2023 to Jan 17, 2023
- Pension plan clients · 9 to 5Jan 10, 2023 to Jan 17, 2023
- Discretionary RAUM · $554M to $225MJan 10, 2023 to Jan 17, 2023
- HNW RAUM · $344M to $161MJan 10, 2023 to Jan 17, 2023
- Individual RAUM · $192M to $62.1MJan 10, 2023 to Jan 17, 2023
- Pension RAUM · $18.1M to $1.7MJan 10, 2023 to Jan 17, 2023
- RAUM · $554M to $225MJan 10, 2023 to Jan 17, 2023
- Advisory employees · 2 to 1Dec 19, 2022 to Jan 10, 2023
Signals
3 dated events
- Y••• P•••••• C••••• G••••• I••• reported RAUM $225.1M, down 59% from $554.3M (2023-01-10 to 2023-01-17)Jan 17, 2023 · RAUM change · derived
- Robert Kenneth Graham (President) no longer on Schedule A of Y••• P•••••• C••••• G••••• I••• (listed 2022-12-19, absent 2023-01-10)Jan 10, 2023 · Control person left · inference
- Y••• P•••••• C•••• G••••• I••• filed its initial SEC registration (Form ADV)Feb 6, 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
- Business email
- info@yourpcg.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-346-0138reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-346-0138reportedpublic record, Form ADV, Jul 2, 2026
- Contact form
- yourpcg.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026