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••••• P•••••••
Legal name J•••• A• P•••••• F•••••••• I••
Latest filing Apr 6, 2026
First filing on the tape Mar 24, 2022 · 8 filings
SEC status approved since Apr 22, 2022
RAUM
$244M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
65%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$244M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$244M as of Apr 6, 2026
Apr 2, 2023$126M then
HNW client RAUM$144M as of Apr 6, 2026
Apr 2, 2023$43.0M then
State-registered IARs (5.B.3)1 as of Apr 6, 2026
Apr 2, 20231 then
Employees (5.A)5 as of Apr 6, 2026
Apr 2, 20235 then
Private funds5 as of Apr 6, 2026
Apr 2, 20231 then
RAUM +35% over the last fiscal year+25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $244MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.2%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M59%
- Pension and profit-sharing plans$60.1M25%
- Pooled investment vehicles$25.0M10%
- Individuals$14.6M6.0%
- Individual clients
- 49reported
- HNW clients
- 42reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 105reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.65 fund_share=0.1 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A••••• P•••••• | Newport Beach, Ca | Jan 21, 2020 | 21 y | 4 |
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
- J•••• A••••• P•••••• from P•••• W••••• M••••••••• I•••Jan 21, 2020 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O••••••••• P•••••• A••••••••• F•••• L•• • S••••• B• | Hedge Fund | $3.1M | 7 | Dec 26, 2024 |
| O••••••••• P•••••• A••••••••• F•••• L•• • S••••• A• | Hedge Fund | $2.5M | 4 | Dec 26, 2024 |
| S••••••• L•• | Other Private Fund | $2.0M | 9 | Mar 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••••• A••••• · Chief Executive Officercontrolsince 08/2018 · owns 75% or more
- Y•• L•••• · Vice President & Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• M••••••••• C••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $180,293,804 to $243,553,033 (+35.0%) between the annual amendments of 2025-04-02 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 90% percentile
- p•••••• fund count surgeChange between filings · filing Apr 6, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-04-02 and 2026-04-06; the peer median change was 0.0% (126 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (126) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 109 to 105Apr 2, 2025 to Apr 6, 2026
- HNW clients · 53 to 42Apr 2, 2025 to Apr 6, 2026
- Individual clients · 44 to 49Apr 2, 2025 to Apr 6, 2026
- Pooled vehicle clients · 3 to 5Apr 2, 2025 to Apr 6, 2026
- Private funds · 3 to 5Apr 2, 2025 to Apr 6, 2026
- Discretionary RAUM · $130M to $183MApr 2, 2025 to Apr 6, 2026
- HNW RAUM · $103M to $144MApr 2, 2025 to Apr 6, 2026
- Individual RAUM · $11.4M to $14.6MApr 2, 2025 to Apr 6, 2026
- Non-discretionary RAUM · $50.7M to $60.1MApr 2, 2025 to Apr 6, 2026
- Pension RAUM · $50.7M to $60.1MApr 2, 2025 to Apr 6, 2026
- Pooled vehicle RAUM · $15.0M to $25.0MApr 2, 2025 to Apr 6, 2026
- RAUM · $180M to $244MApr 2, 2025 to Apr 6, 2026
- Accounts · 88 to 109Dec 26, 2024 to Apr 2, 2025
- HNW clients · 55 to 53Dec 26, 2024 to Apr 2, 2025
- Individual clients · 21 to 44Dec 26, 2024 to Apr 2, 2025
- Pension plan clients · 8 to 9Dec 26, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Dec 26, 2024 to Apr 2, 2025
- Discretionary RAUM · $82.9M to $130MDec 26, 2024 to Apr 2, 2025
- HNW RAUM · $71.4M to $103MDec 26, 2024 to Apr 2, 2025
- Individual RAUM · $2.2M to $11.4MDec 26, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $47.1M to $50.7MDec 26, 2024 to Apr 2, 2025
- Pension RAUM · $47.1M to $50.7MDec 26, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $9.3M to $15.0MDec 26, 2024 to Apr 2, 2025
- RAUM · $130M to $180MDec 26, 2024 to Apr 2, 2025
- Accounts · 86 to 88Mar 30, 2024 to Dec 26, 2024
- Pooled vehicle clients · 2 to 3Mar 30, 2024 to Dec 26, 2024
- Private funds · 1 to 3Mar 30, 2024 to Dec 26, 2024
- Discretionary RAUM · $77.3M to $82.9MMar 30, 2024 to Dec 26, 2024
- Pooled vehicle RAUM · $3.8M to $9.3MMar 30, 2024 to Dec 26, 2024
- RAUM · $124M to $130MMar 30, 2024 to Dec 26, 2024
- Accounts · 76 to 86Sep 27, 2023 to Mar 30, 2024
- HNW clients · 44 to 55Sep 27, 2023 to Mar 30, 2024
- Individual clients · 22 to 21Sep 27, 2023 to Mar 30, 2024
- Discretionary RAUM · $71.8M to $77.3MSep 27, 2023 to Mar 30, 2024
- HNW RAUM · $66.5M to $71.4MSep 27, 2023 to Mar 30, 2024
- Individual RAUM · $2.3M to $2.2MSep 27, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $58.0M to $47.1MSep 27, 2023 to Mar 30, 2024
- Pension RAUM · $58.0M to $47.1MSep 27, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $3.0M to $3.8MSep 27, 2023 to Mar 30, 2024
- RAUM · $130M to $124MSep 27, 2023 to Mar 30, 2024
Signals
1 dated events
- S••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 24, 2022 · 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@pratteswealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-271-6333reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pratteswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-271-6333reportedpublic record, Form ADV, Apr 6, 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
- $244Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026