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••••• L••
Latest filing Aug 20, 2026
First filing on the tape Apr 1, 2021 · 10 filings
SEC status approved since May 3, 2021
RAUM
$156M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$155M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$156M as of Aug 20, 2026
Mar 31, 2022$132M then
HNW client RAUM$132M as of Aug 20, 2026
Mar 31, 2022$120M then
State-registered IARs (5.B.3)2 as of Aug 20, 2026
Mar 31, 20222 then
Employees (5.A)3 as of Aug 20, 2026
Mar 31, 20222 then
Private funds: no history
RAUM +4.8% over the last fiscal year+12% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Aug 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $463,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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$132M84%
- Individuals$22.9M15%
- Charitable organizations$1.1M0.7%
- Corporations and businesses$512,1610.3%
- Other investment advisers$33,5530.0%
- Individual clients
- 59reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- 11reported
- Accounts
- 337reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| K••• L••• A••••Certified Financial Planner | Portland, Or | Jan 17, 2019 | 34 y | 3 |
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
- A•••••• S• T•••••• to P•••• I••••• C••••••• L••Sep 15, 2020 · Other
Joined, latest
- K••• L••• A•••• from P••• H•••• I••••••••• C••••••• I•••Jan 17, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• K•••• L••• · Managing Member/Chief Compliance Officercontrolsince 01/2019 · owns 75% or more
- C•••• G•••••••• L•••• · Membersince 01/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $149,125,507 to $156,345,588, advisors 2 to 2, private clients 135 to 105, offices 1 to 1 (2025-03-12 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 27, 2026 to Aug 20, 2026
- Employees · 4 to 3Mar 27, 2026 to Aug 20, 2026
- Other offices · 1 to 0Mar 27, 2026 to Aug 20, 2026
- Accounts · 338 to 337Mar 12, 2025 to Mar 27, 2026
- Advisory activities · 2 to 3Mar 12, 2025 to Mar 27, 2026
- Charity clients · 10 to 11Mar 12, 2025 to Mar 27, 2026
- HNW clients · 60 to 46Mar 12, 2025 to Mar 27, 2026
- Individual clients · 75 to 59Mar 12, 2025 to Mar 27, 2026
- Financial planning clients · 1-10 to 101-250Mar 12, 2025 to Mar 27, 2026
- Discretionary RAUM · $140M to $149MMar 12, 2025 to Mar 27, 2026
- HNW RAUM · $122M to $132MMar 12, 2025 to Mar 27, 2026
- Individual RAUM · $25.0M to $22.9MMar 12, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $9.2M to $7.2MMar 12, 2025 to Mar 27, 2026
- RAUM · $149M to $156MMar 12, 2025 to Mar 27, 2026
- Accounts · 337 to 338Nov 6, 2024 to Mar 12, 2025
- Charity clients · 8 to 10Nov 6, 2024 to Mar 12, 2025
- HNW clients · 44 to 60Nov 6, 2024 to Mar 12, 2025
- Individual clients · 69 to 75Nov 6, 2024 to Mar 12, 2025
- Employees · 3 to 4Nov 6, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Nov 6, 2024 to Mar 12, 2025
- Discretionary RAUM · $128M to $140MNov 6, 2024 to Mar 12, 2025
- HNW RAUM · $108M to $122MNov 6, 2024 to Mar 12, 2025
- Individual RAUM · $25.2M to $25.0MNov 6, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $5.8M to $9.2MNov 6, 2024 to Mar 12, 2025
- RAUM · $134M to $149MNov 6, 2024 to Mar 12, 2025
- Accounts · 291 to 337Dec 4, 2023 to Mar 25, 2024
- Charity clients · 7 to 8Dec 4, 2023 to Mar 25, 2024
- HNW clients · 62 to 44Dec 4, 2023 to Mar 25, 2024
- Individual clients · 57 to 69Dec 4, 2023 to Mar 25, 2024
- Assets in custody · 9693187.0 to unsetDec 4, 2023 to Mar 25, 2024
- Custody of client assets · true to falseDec 4, 2023 to Mar 25, 2024
- Employees · 2 to 3Dec 4, 2023 to Mar 25, 2024
- Discretionary RAUM · $107M to $128MDec 4, 2023 to Mar 25, 2024
- HNW RAUM · $96.8M to $108MDec 4, 2023 to Mar 25, 2024
- Individual RAUM · $14.0M to $25.2MDec 4, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $4.7M to $5.8MDec 4, 2023 to Mar 25, 2024
- RAUM · $111M to $134MDec 4, 2023 to Mar 25, 2024
- Other offices · 0 to 1Nov 2, 2023 to Dec 4, 2023
- Accounts · 245 to 291Mar 31, 2022 to Mar 30, 2023
- Charity clients · 6 to 7Mar 31, 2022 to Mar 30, 2023
Signals
1 dated events
- P•••• W••••• L•• filed its initial SEC registration (Form ADV)Apr 1, 2021 · 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 phone
- 503-223-2539reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/19161692reportedpublic record, Form ADV, Sep 18, 2026
- Website
- pearlwealthllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (503) 223-2539reportedpublic record, Form ADV, Aug 20, 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026