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•••••• G••••• A••••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 298187SEC 801-114447IAPD
Latest filing Mar 30, 2021
First filing on the tape Nov 15, 2018 · 6 filings
RAUM
$57.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$57.1M as of Mar 30, 2021
Mar 29, 2019$18.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 29, 20190 then
Employees (5.A)5 as of Mar 30, 2021
Mar 29, 20195 then
Private funds: no history
RAUM -50% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$28.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-50%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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
  • Investment companies$57.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• A••••••• J••••• · Managing Directorcontrol
        since 06/2018 · owns less than 5%
      • L•••••••• J•••••• G•••••• · Legal Counselcontrol
        since 06/2018 · owns less than 5%
      • R•••••• C••••• E••••• · Chief Compliance Officercontrol
        since 12/2020 · owns less than 5%
      • S•••••• J•••••• B•••• · Managing Directorcontrol
        since 06/2018 · owns less than 5%
      Entity owners
      • P•••••• G••••• A•••• M••••••••• L•• · Managing Member Of Applicant
        direct · owns 75% or more
      • P•••••• L••• I•••••••• C•••••• · Managing Member
        indirect · owns 75% or more of P•••••• G••••• A•••• M••••••••• L••
      • P•••••• L••••••• · Parent
        indirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
      • P•••••• M••••• H•••••• C•••••• · Parent
        indirect · owns 75% or more of P•••••• L•••••••
      Related persons
      Schedule D 7.A
      Advisers that list P•••••• G••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 0 to 1
        Jan 2, 2021 to Mar 30, 2021
      • Employees · 4 to 5
        Jan 2, 2021 to Mar 30, 2021
      • Other offices · 1 to 0
        Jan 2, 2021 to Mar 30, 2021
      • Discretionary RAUM · $56.6M to $57.1M
        Jan 2, 2021 to Mar 30, 2021
      • RAUM · $56.6M to $57.1M
        Jan 2, 2021 to Mar 30, 2021
      • Accounts · 4 to 2
        Mar 30, 2020 to Jan 2, 2021
      • Advisory employees · 3 to 2
        Mar 30, 2020 to Jan 2, 2021
      • BD registered reps · 1 to 0
        Mar 30, 2020 to Jan 2, 2021
      • Employees · 5 to 4
        Mar 30, 2020 to Jan 2, 2021
      • Discretionary RAUM · $115M to $56.6M
        Mar 30, 2020 to Jan 2, 2021
      • RAUM · $115M to $56.6M
        Mar 30, 2020 to Jan 2, 2021
      • Accounts · 1 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $18.0M to $115M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $18.0M to $115M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · unset to 1.0
        Dec 4, 2018 to Mar 29, 2019
      • BD registered reps · 0 to 1
        Dec 4, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Dec 4, 2018 to Mar 29, 2019
      • Discretionary RAUM · unset to 17992306.0
        Dec 4, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · unset to 0.0
        Dec 4, 2018 to Mar 29, 2019
      • RAUM · unset to 17992306.0
        Dec 4, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        Nov 15, 2018 to Dec 4, 2018
      • Employees · 6 to 5
        Nov 15, 2018 to Dec 4, 2018
      Signals
      4 dated events
      • John Michael Skillman (Managing Director) no longer on Schedule A of P•••••• G••••• A••••••• L•• (listed 2020-03-30, absent 2021-01-02)
        Jan 2, 2021 · Control person left · inference
      • Ann Kimberly Voss (Chief Compliance Officer) no longer on Schedule A of P•••••• G••••• A••••••• L•• (listed 2020-03-30, absent 2021-01-02)
        Jan 2, 2021 · Control person left · inference
      • Elaine Carol Rumsey (Chief Compliance Officer) appeared on Schedule A of P•••••• G••••• A••••••• L••
        Jan 2, 2021 · Control person joined · fact
      • P•••••• G••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 15, 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