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•• W••••• M•••••••••
Legal name P••••• J•••• W••••• M••••••••• L••
Latest filing May 11, 2026
First filing on the tape Oct 16, 2020 · 28 filings
SEC status approved since Nov 13, 2020
RAUM
$931M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$887M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$931M as of May 11, 2026
Mar 31, 2021$221M then
HNW client RAUM$807M as of May 11, 2026
Mar 31, 2021$84.2M then
State-registered IARs (5.B.3)7 as of May 11, 2026
Mar 31, 20214 then
Employees (5.A)9 as of May 11, 2026
Mar 31, 20217 then
Private funds: no history
RAUM -0.2% over the last fiscal year+53% a year over threeIARs 8 to 7
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $753,543derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $51.6M, 28 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$807M87%
- Individuals$80.0M8.6%
- Charitable organizations$44.0M4.7%
- Individual clients
- 304reported
- HNW clients
- 193reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,235reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $51.6M for 28 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• W••• M•••••• | Tampa, Fl | Aug 21, 2018 | 13 y | 2 |
| T••• W•••••• M•••••• | Alpharetta, Ga | Aug 28, 2018 | 23 y | 1 |
| R•••• V••••• R••••••• | Alpharetta, Ga | Mar 11, 2020 | 41 y | 3 |
| D••••• M••••••• D•••••• | Alpharetta, Ga | Jan 7, 2022 | 12 y | 2 |
| C•••••• L••• H••• | Huntsville, Al | Feb 1, 2022 | 44 y | 0 |
| D•••• G•••••• P••••••••Chartered Financial Analyst | Alpharetta, Ga | Jul 1, 2024 | 33 y | 1 |
| K•••• M• W••••Certified Financial Planner | Riverview, Fl | Dec 16, 2025 | 24 y | 7 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- E••• E•••••••• M••••• to M•• A•••••••• L••May 11, 2026 · RIA to a newly registered adviser
Joined, latest
- K•••• M• W•••• from S••••• W••••• A•••••••• I•••Dec 16, 2025 · RIA to RIA
- D•••• G•••••• P•••••••• from G•••••• I••••••••• M•••••••••Jul 1, 2024 · RIA to RIA
- D••••• M••••••• D•••••• from W••••••••• I••••••••• M••••••••• L••Jan 7, 2022 · RIA to RIA
- E••• E•••••••• M••••• from T••••••• W••••• M•••••••••Oct 30, 2020 · Other
- R•••• V••••• R••••••• from B•••• P•••• F•••••••• S••••••• L••Mar 11, 2020 · Other
- T••• W•••••• M•••••• from P•••••••• S••••••••• I•••Aug 28, 2018 · Affiliated broker-dealer or bank to independent RIA
- N••••••• W••• M•••••• from P•••••••• S••••••••• I•••Aug 21, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•••••••• S••••••••• I•••Sep 4, 2018 · Minnetonka, Mn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• D•••••• M••••••• · Chief Investment Officercontrolsince 01/2023 · owns 10% to 25%
- H••••• B••••• R•••• · Director Of Operationscontrolsince 01/2022 · owns 10% to 25%
- M••••••• N•••••••• W••• · Cco & Managing Membercontrolsince 07/2018 · owns 25% to 50%
- M••••••• T•••• W•••••• · Managing Membercontrolsince 07/2018 · owns 25% to 50%
- J••••••••• D••• · Investorsince 09/2020 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Alpharetta, Ga · principal | 7 | 1 | 0 | ||
| Atlanta, Ga | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Riverview, FL3 employees
- Plantation, FL2 employees
- Huntsville, AL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,519 to 1,235Jun 17, 2025 to Mar 17, 2026
- Advisory employees · 8 to 7Jun 17, 2025 to Mar 17, 2026
- HNW clients · 233 to 193Jun 17, 2025 to Mar 17, 2026
- Individual clients · 351 to 304Jun 17, 2025 to Mar 17, 2026
- Employees · 10 to 9Jun 17, 2025 to Mar 17, 2026
- HQ city · MILTON to ALPHARETTAJun 17, 2025 to Mar 17, 2026
- State-registered IARs · 8 to 7Jun 17, 2025 to Mar 17, 2026
- Discretionary RAUM · $919M to $926MJun 17, 2025 to Mar 17, 2026
- HNW RAUM · $811M to $807MJun 17, 2025 to Mar 17, 2026
- Individual RAUM · $84.0M to $80.0MJun 17, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $12.7M to $4.5MJun 17, 2025 to Mar 17, 2026
- RAUM · $932M to $931MJun 17, 2025 to Mar 17, 2026
- Assets in custody · $699M to $51.6MMay 14, 2025 to Jun 17, 2025
- Financial planning clients · 0 to 0May 14, 2025 to Jun 17, 2025
- Discretionary RAUM · $932M to $919MMay 14, 2025 to Jun 17, 2025
- Non-discretionary RAUM · $0 to $12.7MMay 14, 2025 to Jun 17, 2025
- Accounts · 1,636 to 1,519Jan 6, 2025 to Mar 12, 2025
- Advisory employees · 7 to 8Jan 6, 2025 to Mar 12, 2025
- HNW clients · 227 to 233Jan 6, 2025 to Mar 12, 2025
- Individual clients · 363 to 351Jan 6, 2025 to Mar 12, 2025
- Assets in custody · $649M to $699MJan 6, 2025 to Mar 12, 2025
- Employees · 8 to 10Jan 6, 2025 to Mar 12, 2025
- State-registered IARs · 7 to 8Jan 6, 2025 to Mar 12, 2025
- Other offices · 5 to 6Jan 6, 2025 to Mar 12, 2025
- Discretionary RAUM · $934M to $932MJan 6, 2025 to Mar 12, 2025
- HNW RAUM · $798M to $811MJan 6, 2025 to Mar 12, 2025
- Individual RAUM · $98.6M to $84.0MJan 6, 2025 to Mar 12, 2025
- RAUM · $934M to $932MJan 6, 2025 to Mar 12, 2025
- Other offices · 4 to 5Jul 22, 2024 to Jan 6, 2025
- Accounts · 764 to 1,636Jun 27, 2024 to Jul 22, 2024
- HNW clients · 86 to 227Jun 27, 2024 to Jul 22, 2024
- Individual clients · 221 to 363Jun 27, 2024 to Jul 22, 2024
- Assets in custody · $147M to $649MJun 27, 2024 to Jul 22, 2024
- Discretionary RAUM · $211M to $934MJun 27, 2024 to Jul 22, 2024
- HNW RAUM · $156M to $798MJun 27, 2024 to Jul 22, 2024
- Individual RAUM · $54.5M to $98.6MJun 27, 2024 to Jul 22, 2024
- RAUM · $211M to $934MJun 27, 2024 to Jul 22, 2024
- Other offices · 3 to 4Mar 8, 2024 to May 1, 2024
- Advisory activities · 4 to 3Mar 5, 2024 to Mar 8, 2024
- HQ city · RIVERVIEW to MILTONMar 5, 2024 to Mar 8, 2024
Signals
5 dated events
- Erin Elizabeth Martin left Pgi Wealth Management for Mrp Advisors, Llc (registered 2026-03-03)May 11, 2026 · Advisor changed firm · fact
- Pgi Wealth Management reported RAUM $934.4M, up 343% from $211.1M (2024-06-27 to 2024-07-22)Jul 22, 2024 · RAUM change · derived
- Mitchell Dustin Dorhout (Chief Investment Officer) appeared on Schedule A of Pgi Wealth ManagementMar 28, 2023 · Control person joined · fact
- Ryden Brion Hines (Chief Investment Officer) appeared on Schedule A of Pgi Wealth ManagementMar 28, 2023 · Control person joined · fact
- Pgi Wealth Management filed its initial SEC registration (Form ADV)Oct 16, 2020 · 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
- Firm profile
- linkedin.com/company/34696954/adminreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (888) 493-9022reportedpublic record, Form ADV, May 11, 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026