DFX Intelligence

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SEC-registered adviser

P••••• P•••••• W••••• M•••••••••

Independent wealth managerNewport Beach, CaliforniaCRD 301474SEC 801-119694website IAPD

Legal name P•••••• L••

Latest filing Mar 11, 2026

First filing on the tape May 7, 2019 · 21 filings

SEC status approved since Oct 26, 2020

RAUM

$115M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$114M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$115M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$115M as of Mar 11, 2026

Mar 8, 2021$112M then

HNW client RAUM$111M as of Mar 11, 2026

Mar 8, 2021$106M then

State-registered IARs (5.B.3)1 as of Mar 11, 2026

Mar 8, 20212 then

Employees (5.A)3 as of Mar 11, 2026

Mar 8, 20214 then

Private funds: no history

RAUM -3.4% over the last fiscal year+3.1% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 11, 2026; every figure names its basis

Archetypes, each a printed rule

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $115MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.1MderivedHNW RAUM over HNW clients
Average account: $977,627derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.4%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: -3.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program: $115MreportedItem 5.I
Custody: $52.0M, 9 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$111M96%
Individuals$2.6M2.3%
Pension and profit-sharing plans$1.6M1.4%

Individual clients: 5reported
HNW clients: 27reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 118reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $52.0M for 9 clientsreported
Compensation: % of AUMreported
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
A••• K••••••	Newport Beach, Ca	Jun 11, 2019	29 y	2

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

J••••• A• C••••• to M•• C•••••• M••••••••• L••
May 3, 2023 · RIA to RIA
R••• D••••••• to T• A••••••••• I••••••••• M••••••••• L••
Nov 26, 2019 · RIA to RIA

Joined, latest

R••• D••••••• from C•••••• S••••• • C••• I•••
Jul 19, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
A••• K•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Jun 11, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••••• A••• · Founder, Managing Director & Chief Compliance Officercontrol
since 06/2019 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 106 to 118
Feb 26, 2025 to Mar 11, 2026
HNW clients · 26 to 27
Feb 26, 2025 to Mar 11, 2026
Individual clients · unset to 5.0
Feb 26, 2025 to Mar 11, 2026
Assets in custody · $47.8M to $52.0M
Feb 26, 2025 to Mar 11, 2026
Discretionary RAUM · $119M to $115M
Feb 26, 2025 to Mar 11, 2026
HNW RAUM · $110M to $111M
Feb 26, 2025 to Mar 11, 2026
Individual RAUM · $2.0M to $2.6M
Feb 26, 2025 to Mar 11, 2026
Pension RAUM · $7.3M to $1.6M
Feb 26, 2025 to Mar 11, 2026
RAUM · $119M to $115M
Feb 26, 2025 to Mar 11, 2026
Accounts · 116 to 106
Aug 19, 2024 to Feb 26, 2025
Assets in custody · $48.1M to $47.8M
Aug 19, 2024 to Feb 26, 2025
Financial planning clients · 0 to 0
Aug 19, 2024 to Feb 26, 2025
Discretionary RAUM · $114M to $119M
Aug 19, 2024 to Feb 26, 2025
HNW RAUM · $106M to $110M
Aug 19, 2024 to Feb 26, 2025
Individual RAUM · $1.7M to $2.0M
Aug 19, 2024 to Feb 26, 2025
Pension RAUM · $6.9M to $7.3M
Aug 19, 2024 to Feb 26, 2025
RAUM · $114M to $119M
Aug 19, 2024 to Feb 26, 2025
Advisory employees · 2 to 1
Mar 21, 2023 to Mar 19, 2024
HNW clients · 20 to 26
Mar 21, 2023 to Mar 19, 2024
Individual clients · 5.0 to unset
Mar 21, 2023 to Mar 19, 2024
Assets in custody · $47.1M to $48.1M
Mar 21, 2023 to Mar 19, 2024
Employees · 4 to 3
Mar 21, 2023 to Mar 19, 2024
State-registered IARs · 2 to 1
Mar 21, 2023 to Mar 19, 2024
Discretionary RAUM · $105M to $114M
Mar 21, 2023 to Mar 19, 2024
HNW RAUM · $98.3M to $106M
Mar 21, 2023 to Mar 19, 2024
Individual RAUM · $1.6M to $1.7M
Mar 21, 2023 to Mar 19, 2024
Pension RAUM · $5.5M to $6.9M
Mar 21, 2023 to Mar 19, 2024
RAUM · $105M to $114M
Mar 21, 2023 to Mar 19, 2024
Accounts · 105 to 116
Mar 24, 2022 to Mar 21, 2023
HNW clients · 25 to 20
Mar 24, 2022 to Mar 21, 2023
Individual clients · unset to 5.0
Mar 24, 2022 to Mar 21, 2023
Assets in custody · $48.3M to $47.1M
Mar 24, 2022 to Mar 21, 2023
Employees · 3 to 4
Mar 24, 2022 to Mar 21, 2023
Discretionary RAUM · $130M to $105M
Mar 24, 2022 to Mar 21, 2023
HNW RAUM · $127M to $98.3M
Mar 24, 2022 to Mar 21, 2023
Individual RAUM · $1.2M to $1.6M
Mar 24, 2022 to Mar 21, 2023
Non-discretionary RAUM · $3.8M to $0
Mar 24, 2022 to Mar 21, 2023
Pension RAUM · $5.9M to $5.5M
Mar 24, 2022 to Mar 21, 2023
RAUM · $134M to $105M
Mar 24, 2022 to Mar 21, 2023
Accounts · 101 to 105
Nov 24, 2021 to Mar 24, 2022

Signals

2 dated events

J••••• A• C••••• left P••••• P•••••• W••••• M••••••••• for M•• C•••••• M••••••••• L•• (registered 2023-05-31)
May 3, 2023 · Advisor changed firm · fact
P•••••• L•• filed its initial SEC registration (Form ADV)
May 7, 2019 · 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: i•••@p•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 888-727-4297reportedpublished by the firm, firm site, Sep 16, 2026
Website: P•••••.COMreportedpublic record, Form ADV, Mar 11, 2026
Principal office phone: (949) 688-0881reportedpublic record, Form ADV, Mar 11, 2026
Contact form: p•••••.comreportedpublished by the firm, firm site, Sep 16, 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: $115Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026