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• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 298324SEC 801-114059IAPD
Latest filing Jun 7, 2022
First filing on the tape Aug 29, 2018 · 15 filings
RAUM
$666M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$638M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$666M as of Feb 4, 2022
Feb 1, 2019$122M then
HNW client RAUM$573M as of Feb 4, 2022
Feb 1, 2019$89.6M then
State-registered IARs (5.B.3)5 as of Feb 4, 2022
Feb 1, 20197 then
Employees (5.A)6 as of Feb 4, 2022
Feb 1, 20198 then
Private funds: no history
RAUM +141% over the last fiscal year+76% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 7, 2022; every figure names its basis
RAUM per advisor
$133MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
127derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$551,095derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+141%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+32%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$38.8MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$573M86%
  • Individuals$64.6M9.7%
  • Pension and profit-sharing plans$18.2M2.7%
  • Corporations and businesses$10.2M1.5%
Individual clients
352reported
HNW clients
281reported
Pension plan clients
21reported
Charitable clients
0reported
Accounts
1,209reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••••• T•••••• J••••• · Chief Operating Officer
    since 08/2018 · owns less than 5%
  • S•••••• M•••• A••• · Chief Executive Officer
    since 08/2018 · owns less than 5%
  • S••••••••• M••••••• A••••• · Chief Compliance Officer
    since 10/2019 · owns less than 5%
  • F•••••••• G••••• L••••••• · Member
    since 08/2018 · owns F of P••••• M•••• W••••• M••••••••• G•••• L••
  • R•••• J••••• · Member
    since 08/2018 · owns F of P••••• M•••• W••••• M••••••••• G•••• L••
Entity owners
  • P••••• M•••• W••••• M••••••••• G•••• L•• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • P••••• M•••• C•••
    insurancey
Offices
Schedule D 1.F, the 25 largest
  • Cranbury, NJ1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 827 to 1,209
    Aug 18, 2021 to Feb 4, 2022
  • Corporate clients · 4 to 8
    Aug 18, 2021 to Feb 4, 2022
  • HNW clients · 80 to 281
    Aug 18, 2021 to Feb 4, 2022
  • Individual clients · 399 to 352
    Aug 18, 2021 to Feb 4, 2022
  • Pension plan clients · 20 to 21
    Aug 18, 2021 to Feb 4, 2022
  • Discretionary RAUM · $276M to $666M
    Aug 18, 2021 to Feb 4, 2022
  • HNW RAUM · $158M to $573M
    Aug 18, 2021 to Feb 4, 2022
  • Individual RAUM · $93.2M to $64.6M
    Aug 18, 2021 to Feb 4, 2022
  • Pension RAUM · $16.3M to $18.2M
    Aug 18, 2021 to Feb 4, 2022
  • RAUM · $276M to $666M
    Aug 18, 2021 to Feb 4, 2022
  • Accounts · 740 to 827
    Dec 2, 2020 to Mar 10, 2021
  • HNW clients · 50 to 80
    Dec 2, 2020 to Mar 10, 2021
  • Individual clients · 329 to 399
    Dec 2, 2020 to Mar 10, 2021
  • Pension plan clients · 22 to 20
    Dec 2, 2020 to Mar 10, 2021
  • Discretionary RAUM · $227M to $276M
    Dec 2, 2020 to Mar 10, 2021
  • HNW RAUM · $122M to $158M
    Dec 2, 2020 to Mar 10, 2021
  • Individual RAUM · $84.7M to $93.2M
    Dec 2, 2020 to Mar 10, 2021
  • Non-discretionary RAUM · $1.4M to $0
    Dec 2, 2020 to Mar 10, 2021
  • Pension RAUM · $13.7M to $16.3M
    Dec 2, 2020 to Mar 10, 2021
  • RAUM · $229M to $276M
    Dec 2, 2020 to Mar 10, 2021
  • Accounts · 316 to 740
    Oct 9, 2019 to Mar 27, 2020
  • Advisory employees · 7 to 5
    Oct 9, 2019 to Mar 27, 2020
  • Advisory activities · 5 to 4
    Oct 9, 2019 to Mar 27, 2020
  • BD registered reps · 7 to 5
    Oct 9, 2019 to Mar 27, 2020
  • Corporate clients · 0 to 4
    Oct 9, 2019 to Mar 27, 2020
  • HNW clients · 35 to 50
    Oct 9, 2019 to Mar 27, 2020
  • Individual clients · 133 to 329
    Oct 9, 2019 to Mar 27, 2020
  • Pension plan clients · 0 to 22
    Oct 9, 2019 to Mar 27, 2020
  • Employees · 8 to 6
    Oct 9, 2019 to Mar 27, 2020
  • Financial planning clients · 0 to 1-10
    Oct 9, 2019 to Mar 27, 2020
  • State-registered IARs · 7 to 5
    Oct 9, 2019 to Mar 27, 2020
  • Other offices · 4 to 2
    Oct 9, 2019 to Mar 27, 2020
  • Discretionary RAUM · $122M to $227M
    Oct 9, 2019 to Mar 27, 2020
  • HNW RAUM · $89.6M to $122M
    Oct 9, 2019 to Mar 27, 2020
  • Individual RAUM · $32.9M to $84.7M
    Oct 9, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $0 to $1.4M
    Oct 9, 2019 to Mar 27, 2020
  • Pension RAUM · $0 to $13.7M
    Oct 9, 2019 to Mar 27, 2020
  • RAUM · $122M to $229M
    Oct 9, 2019 to Mar 27, 2020
  • Wrap assets (manager) · unset to 0.0
    Oct 9, 2019 to Mar 27, 2020
  • Wrap assets (sponsor) · unset to 0.0
    Oct 9, 2019 to Mar 27, 2020
Signals
14 dated events
  • M••• A••• S••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-11-15)
    Dec 31, 2022 · a•••••• firm change · fact
  • S••••• L•• T•••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-12-22)
    Dec 19, 2022 · a•••••• firm change · fact
  • E••••• S•••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-11-15)
    Dec 19, 2022 · a•••••• firm change · fact
  • G••• M•••••• W•••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-12-22)
    Dec 19, 2022 · a•••••• firm change · fact
  • J•••• R•••• W•••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-11-16)
    Dec 19, 2022 · a•••••• firm change · fact
  • S•••••• D•••• M••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2023-03-09)
    Dec 19, 2022 · a•••••• firm change · fact
  • T••••• J••••• H••••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-11-16)
    Dec 19, 2022 · a•••••• firm change · fact
  • J••••• N• R••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-12-22)
    Dec 19, 2022 · a•••••• firm change · fact
  • M••• J••• A••••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2023-04-17)
    Dec 19, 2022 · a•••••• firm change · fact
  • S••••• B•••••••• left P• W••••• M••••••••• L•• for P•••••• W••••• M••••••••• L•• (registered 2022-11-15)
    Dec 19, 2022 · a•••••• firm change · fact
  • P• W••••• M••••••••• L••'s advisors moved to P•••••• W••••• M••••••••• L•• (New York, NY): 9 of 10 registered, within 12 days
    Dec 19, 2022 · Firm absorbed (people side) · derived
  • P• W••••• M••••••••• L•• reported RAUM $666.3M, up 141% from $275.9M (2021-08-18 to 2022-02-04)
    Feb 4, 2022 · RAUM change · derived
  • P• W••••• M••••••••• L•• reported RAUM $228.6M, up 87% from $122.5M (2019-10-09 to 2020-03-27)
    Mar 27, 2020 · RAUM change · derived
  • P••••• M•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
    Aug 29, 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