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
P••••••• P•••••• W•••••• L••
Latest filing Jul 21, 2026
First filing on the tape Mar 28, 2018 · 34 filings
SEC status approved since Apr 27, 2018
RAUM
$1.6B
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
71%
$1.2B individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$85.3M
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
6
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.6B as of Jul 21, 2026
Feb 15, 2019$350M then
HNW client RAUM$1.0B as of Jul 21, 2026
Feb 15, 2019$307M then
State-registered IARs (5.B.3)17 as of Jul 21, 2026
Feb 15, 20190 then
Employees (5.A)19 as of Jul 21, 2026
Feb 15, 201910 then
Private funds6 as of Jul 21, 2026
Mar 23, 20234 then
RAUM +28% over the last fiscal year+21% a year over threeIARs 16 to 17offices 4 to 5
Practice profile
derived from the filing of Jul 21, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $85.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $763,004derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $894M, 376 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B62%
- Pension and profit-sharing plans$310M19%
- Individuals$143M8.8%
- Pooled investment vehicles$131M8.1%
- Corporations and businesses$24.7M1.5%
- Investment companies$2.7M0.2%
- Charitable organizations$391,6290.0%
- Individual clients
- 177reported
- HNW clients
- 255reported
- Pension plan clients
- 60reported
- Charitable clients
- n/areported
- Accounts
- 2,124reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $894M for 376 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.71 fund_share=0.08 institutional_share=0.19 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••• A•••••••• W•••• | P•••••••, Ca | May 18, 2018 | 24 y | 1 |
| B•••• A••••• M••• | Exeter, Ca | May 18, 2018 | 22 y | 1 |
| D•••• C• F••••• | P•••••••, Ca | May 18, 2018 | 32 y | 2 |
| S•••• M•••••• H•••••• | P•••••••, Ca | May 21, 2018 | 26 y | 1 |
| C•••• R•••••• C•••••• | P•••••••, Ca | Jan 28, 2019 | 32 y | 3 |
| I• J•• C•••Certified Financial Planner | P•••••••, Ca | Apr 1, 2019 | 16 y | 1 |
| C•••••• M••••• C•••••• | P•••••••, Ca | Dec 6, 2021 | 13 y | 2 |
| B••• F•••••• | P•••••••, Ca | Aug 4, 2022 | 10 y | 0 |
| G•••• M••• C•••• | P•••••••, Ca | Oct 4, 2022 | 35 y | 0 |
| S•••• S••••• R••••• | Irvine, Ca | Jul 24, 2023 | 23 y | 4 |
| L•••• L••• S•••• | P•••••••, Ca | Dec 16, 2024 | 29 y | 1 |
| J• M• K•• | Honolulu, Hi | Jan 21, 2025 | 10 y | 2 |
| G••••• H•••••• K••••••••• | Honolulu, Hi | Apr 16, 2025 | 39 y | 2 |
| H••••• M•••• S••••••••Certified Financial Planner | P•••••••, Ca | May 12, 2025 | 11 y | 2 |
| C•••••• M••••••• J••••••• | Irvine, Ca | Jun 27, 2025 | 13 y | 6 |
| A•••••• H••• | P•••••••, Ca | Aug 18, 2025 | 25 y | 0 |
| A•• C•••• | P•••••••, Ca | Jan 1, 2026 | 29 y | 4 |
| C••••• W•••••••• S••••• | P•••••••, Ca | Feb 4, 2026 | 12 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S••••• O••••• D•••••• to A••••••• F••••••••• L•••Feb 10, 2025 · RIA to affiliated broker-dealer or bank
- D•••• G•••••• R••••••• to J••• M••••• S••••••••• L••Sep 20, 2021 · RIA to wirehouse
Joined, latest
- C••••• W•••••••• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 4, 2026 · Wirehouse to independent RIA
- A•• C•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 1, 2026 · Wirehouse to independent RIA
- C•••••• M••••••• J••••••• from C•••••••• F••••••••• I•••Jun 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- H••••• M•••• S•••••••• from S••••• O•• W••••• A••••••• S•••••••• L••May 12, 2025 · RIA to RIA
- G••••• H•••••• K••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 16, 2025 · Wirehouse to independent RIA
- J• M• K•• from C••••••• P••••••• I••••••••• A•••••••• L••Jan 21, 2025 · Other
- L•••• L••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 16, 2024 · Wirehouse to independent RIA
- S••••• O••••• D•••••• from G••••• C••••••• L••Oct 7, 2024 · RIA to RIA
- S•••• S••••• R••••• from T••••••• F••••••••• L••Jul 24, 2023 · Other
- C•••••• M••••• C•••••• from N••••• D••••• W•••••Dec 6, 2021 · RIA to RIA
- D•••• G•••••• R••••••• from J••• M••••• S••••••••• L••Apr 12, 2021 · Wirehouse to independent RIA
- I• J•• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 1, 2019 · Wirehouse to independent RIA
- C•••• R•••••• C•••••• from S••••••• P•••••• W•••••• I•••Jan 28, 2019 · Other
- S•••• M•••••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 21, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- I••• A•••••••• W•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 18, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 22, 2018 · P•••••••, Ca
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P•••••• L••••••• L•• | Other Private Fund | $48.4M | 92 | Aug 14, 2023 |
| P••••••• P•••••• R••• E••••• F••• 1• L• | Real Estate Fund | $29.6M | 96 | Jul 14, 2022 |
| P•• C••••• O••••••••• F••• I• L• | Other Private Fund | $26.6M | 0 | Mar 23, 2023 |
| P••••••• P•••••• R••• E••••• F••• 2• L• | Real Estate Fund | $19.5M | 64 | Jul 14, 2022 |
| S•••• C••••••• F••• I• L• | Venture Capital Fund | $5.7M | 26 | Mar 28, 2024 |
| P••••••• P•••••• E••••• F••• 1• L• E•••• S•••• | Private Equity Fund | $1.5M | 12 | Jul 14, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• R•••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- H••••••• S••••• M•••••• · Ceo, Managing Partnercontrolsince 05/2018 · owns 25% to 50%
- M•••• B••••• A••••• · Managing Partnercontrolsince 05/2018 · owns 25% to 50%
- R•••••• S••••• S••••• · Managing Partnercontrolsince 07/2023 · owns 10% to 25%
- W••••• I•••• A•••••••• · Chairman, Managing Partnercontrolsince 05/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- B•••• M•••pooled vehicle sponsory
- C•••• C••••••pooled vehicle sponsory
- I••• W••••pooled vehicle sponsory
- P••••••• P•••••• H•••••••• L••pooled vehicle sponsorn
- P••••••• P•••••• R••• E•••••pooled vehicle sponsorn
- S•••• H••••••pooled vehicle sponsory
- T••••••• F••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| P•••••••, Ca · principal | 17 | 2 | 0 | ||
| Exeter, Ca | 2 | 0 | 0 | ||
| Honolulu, Hi | 2 | 0 | 0 | ||
| Irvine, Ca | 2 | 0 | 0 | ||
| Los Angeles, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA2 employees
- Exeter, CA1 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 5May 6, 2026 to Jul 21, 2026
- Accounts · 1,843 to 2,124Mar 21, 2025 to Feb 23, 2026
- Advisory employees · 7 to 8Mar 21, 2025 to Feb 23, 2026
- BD registered reps · 3 to 4Mar 21, 2025 to Feb 23, 2026
- Charity clients · 0.0 to unsetMar 21, 2025 to Feb 23, 2026
- Corporate clients · 22 to 25Mar 21, 2025 to Feb 23, 2026
- HNW clients · 212 to 255Mar 21, 2025 to Feb 23, 2026
- Individual clients · 164 to 177Mar 21, 2025 to Feb 23, 2026
- Pension plan clients · 55 to 60Mar 21, 2025 to Feb 23, 2026
- Employees · 18 to 19Mar 21, 2025 to Feb 23, 2026
- State-registered IARs · 16 to 17Mar 21, 2025 to Feb 23, 2026
- Discretionary RAUM · $775M to $951MMar 21, 2025 to Feb 23, 2026
- HNW RAUM · $769M to $1.0BMar 21, 2025 to Feb 23, 2026
- Individual RAUM · $116M to $143MMar 21, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $494M to $669MMar 21, 2025 to Feb 23, 2026
- Pension RAUM · $268M to $310MMar 21, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · $98.6M to $131MMar 21, 2025 to Feb 23, 2026
- RAUM · $1.3B to $1.6BMar 21, 2025 to Feb 23, 2026
- Accounts · 1,594 to 1,843Oct 7, 2024 to Mar 21, 2025
- Advisory employees · 6 to 7Oct 7, 2024 to Mar 21, 2025
- BD registered reps · 8 to 3Oct 7, 2024 to Mar 21, 2025
- Corporate clients · 17 to 22Oct 7, 2024 to Mar 21, 2025
- HNW clients · 194 to 212Oct 7, 2024 to Mar 21, 2025
- Individual clients · 162 to 164Oct 7, 2024 to Mar 21, 2025
- Pension plan clients · 56 to 55Oct 7, 2024 to Mar 21, 2025
- Pooled vehicle clients · 5 to 6Oct 7, 2024 to Mar 21, 2025
- Employees · 13 to 18Oct 7, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 251-500Oct 7, 2024 to Mar 21, 2025
- State-registered IARs · 11 to 16Oct 7, 2024 to Mar 21, 2025
- Other offices · 2 to 4Oct 7, 2024 to Mar 21, 2025
- Discretionary RAUM · $655M to $775MOct 7, 2024 to Mar 21, 2025
- HNW RAUM · $728M to $769MOct 7, 2024 to Mar 21, 2025
- Individual RAUM · $108M to $116MOct 7, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $554M to $494MOct 7, 2024 to Mar 21, 2025
- Pension RAUM · $238M to $268MOct 7, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $86.8M to $98.6MOct 7, 2024 to Mar 21, 2025
- RAUM · $1.2B to $1.3BOct 7, 2024 to Mar 21, 2025
- Related adviser · true to falseOct 7, 2024 to Mar 21, 2025
- Insurance-licensed employees · 1 to 0Mar 28, 2024 to Jun 4, 2024
- Accounts · 1,267 to 1,594Aug 14, 2023 to Mar 28, 2024
Signals
8 dated events
- P••••••• P•••••• W•••••• L•• reported RAUM $1.6B, up 28% from $1.3B (2025-03-21 to 2026-02-23)Feb 23, 2026 · RAUM change · derived
- S••••• O••••• D•••••• left P••••••• P•••••• W•••••• L•• for A••••••• F••••••••• L••• (registered 2026-01-08)Feb 10, 2025 · Advisor changed firm · fact
- P••••••• P•••••• W•••••• L•• reported RAUM $1.2B, up 32% from $917.2M (2023-08-14 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Street Simon Reeves (Managing Partner) appeared on Schedule A of P••••••• P•••••• W•••••• L••Aug 14, 2023 · Control person joined · fact
- P••••••• P•••••• W•••••• L•• reported RAUM $884.8M, up 92% from $460.1M (2021-07-19 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- Jun Ik Choi (Chief Compliance Officer) no longer on Schedule A of P••••••• P•••••• W•••••• L•• (listed 2018-09-28, absent 2019-02-15)Feb 15, 2019 · Control person left · inference
- Richard C•••• C•••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• P•••••• W•••••• L••Feb 15, 2019 · Control person joined · fact
- P••••••• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• P•••••• W•••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• P•••••• W•••••• L•• · Private Equityshared crd · organization
- P••••••• P•••••• W•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 626-993-9300reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- pasadenaprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-993-9300reportedpublic record, Form ADV, Jul 21, 2026
- Contact form
- pasadenaprivatewealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pasadenaprivatewealth.com/about/teamreportedpublished by the firm, firm site, Sep 15, 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
- $85.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P••••••• P•••••• W•••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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