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•• G••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 15, 2019 · 20 filings
SEC status approved since May 15, 2019
RAUM
$270M
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
7.4%
$20.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$270M as of Mar 31, 2026
Mar 25, 2020$71.6M then
HNW client RAUM$13.4M as of Mar 31, 2026
Mar 25, 2020$3.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 25, 20201 then
Employees (5.A)3 as of Mar 31, 2026
Mar 25, 20203 then
Private funds1 as of Mar 31, 2026
Mar 25, 20201 then
RAUM +20% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $270MderivedRAUM 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
- $901,638derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- Other investment advisers$148M55%
- Charitable organizations$83.6M31%
- Pooled investment vehicles$17.5M6.5%
- High-net-worth individuals$13.4M5.0%
- Individuals$6.7M2.5%
- Pension and profit-sharing plans$1.0M0.4%
- Individual clients
- 19reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 300reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.07 fund_share=0.61 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• G••••• A••••••• D••••••••• F•••• L• | Other Private Fund | $21.7M | 15 | Dec 2, 2019 |
Owners and control persons
Schedule A and B, latest filing
- J•••••••• L•••• M•••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- P••• E•••• T•• · Managing Member And Chief Investment Officercontrolsince 05/2018 · owns less than 5%
- V•••••••• T••••••• L•• · Presidentcontrolsince 05/2018 · owns less than 5%
- P••• E•••• T•• · Director & Chief Investment Officercontrolsince 01/2019 · owns 50% to 75% of T•• E•••••••• A•••• M••••••••• S•••••••• I•••
- V•••••••• T••••••• L•• · Presidentcontrolsince 04/2008 · owns 50% to 75% of T•• E•••••••• A•••• M••••••••• S•••••••• I•••
Entity owners
- T•• E•••••••• A•••• M••••••••• S•••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- I••••••••• F••••• O••••• I•••••••• S•••••••• I•••real estaten
- M•••••• V••••••• Z•••••• L••n
- T•• E•••••••• A•••• M••••••••• S•••••••• I•••investment adviseryRAUM $148M
Advisers that list P•• G••••• A•••••••• L•• as a related person
- 146778 y
Offices
Schedule D 1.F, the 25 largest
- Pasadena, CA3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 31% against a peer median of 0% (1567 comparable advisers, 100.0th percentile, 10.6 robust deviations)peers: asset managers, $100M to $500M (1,567) · 100% percentile
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-31, no on the filing of 2026-03-31peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 309 to 300Mar 31, 2025 to Mar 31, 2026
- Individual clients · 11 to 19Mar 31, 2025 to Mar 31, 2026
- Assets in custody · 36004933.0 to unsetMar 31, 2025 to Mar 31, 2026
- Custody of client assets · true to falseMar 31, 2025 to Mar 31, 2026
- HQ city · COSTA MESA to NEWPORT BEACHMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $141M to $177MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $12.9M to $13.4MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $3.3M to $6.7MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $84.6M to $93.4MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $960,151 to $1.0MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $19.5M to $17.5MMar 31, 2025 to Mar 31, 2026
- RAUM · $226M to $270MMar 31, 2025 to Mar 31, 2026
- Accounts · 274 to 309May 24, 2024 to Mar 31, 2025
- Assets in custody · $6.2M to $36.0MMay 24, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50May 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $126M to $141MMay 24, 2024 to Mar 31, 2025
- HNW RAUM · $9.4M to $12.9MMay 24, 2024 to Mar 31, 2025
- Individual RAUM · $2.3M to $3.3MMay 24, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $74.1M to $84.6MMay 24, 2024 to Mar 31, 2025
- Pension RAUM · $647,498 to $960,151May 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $20.4M to $19.5MMay 24, 2024 to Mar 31, 2025
- RAUM · $200M to $226MMay 24, 2024 to Mar 31, 2025
- Accounts · 265 to 274Apr 24, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Apr 24, 2023 to Mar 28, 2024
- HNW clients · 6.0 to unsetApr 24, 2023 to Mar 28, 2024
- Individual clients · 7 to 11Apr 24, 2023 to Mar 28, 2024
- Assets in custody · $1.9M to $6.2MApr 24, 2023 to Mar 28, 2024
- Insurance-licensed employees · 2 to 1Apr 24, 2023 to Mar 28, 2024
- Financial planning clients · 51-100 to 26-50Apr 24, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Apr 24, 2023 to Mar 28, 2024
- Discretionary RAUM · $121M to $126MApr 24, 2023 to Mar 28, 2024
- HNW RAUM · $10.6M to $9.4MApr 24, 2023 to Mar 28, 2024
- Individual RAUM · $2.3M to $2.3MApr 24, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $69.5M to $74.1MApr 24, 2023 to Mar 28, 2024
- Pension RAUM · unset to 647498.0Apr 24, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $22.0M to $20.4MApr 24, 2023 to Mar 28, 2024
- RAUM · $190M to $200MApr 24, 2023 to Mar 28, 2024
- Accounts · 262 to 265Dec 21, 2022 to Mar 22, 2023
- Advisory employees · 1 to 2Dec 21, 2022 to Mar 22, 2023
- Advisory activities · 5 to 3Dec 21, 2022 to Mar 22, 2023
Signals
5 dated events
- L••• J••••••• (Chief Compliance Officer) appeared on Schedule A of P•• G••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Michael James Cullen (Chief Compliance Officer) no longer on Schedule A of P•• G••••• A•••••••• L•• (listed 2023-04-24, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael James Cullen (Chief Compliance Officer) appeared on Schedule A of P•• G••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- P•• G••••• A•••••••• L•• reported RAUM $174.3M, up 143% from $71.6M (2020-06-30 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- P•• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 15, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•• G••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- panglobaladvisers.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-878-9410reportedpublic record, Form ADV, Mar 31, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026