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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••••• B••• C••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jul 15, 2019 · 25 filings
SEC status approved since Aug 16, 2019
RAUM
$444M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
93%
$412M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$222M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$444M as of Mar 24, 2026
Feb 26, 2020$266M then
HNW client RAUM$409M as of Mar 24, 2026
Feb 26, 2020$236M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Feb 26, 20202 then
Employees (5.A)4 as of Mar 24, 2026
Feb 26, 20204 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $222MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $851,564derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $201M, 148 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$409M92%
- Corporations and businesses$18.1M4.1%
- Pension and profit-sharing plans$10.3M2.3%
- Individuals$3.3M0.8%
- Charitable organizations$3.0M0.7%
- Individual clients
- 18reported
- HNW clients
- 132reported
- Pension plan clients
- 6reported
- Charitable clients
- 9reported
- Accounts
- 521reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $201M for 148 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• S•••• W•••Chartered Financial Analyst | Newport Beach, Ca | Aug 16, 2019 | 38 y | 2 |
| J•••• M••••• O••••••• | Newport Beach, Ca | Aug 16, 2019 | 30 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
none on the tape
Joined, latest
- J•••• M••••• O••••••• from M••••• S••••••Aug 16, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E••• S•••• W••• from M••••• S••••••Aug 16, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Aug 19, 2019 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••••• J••••• M••••• · Chief Compliance Officer & Managing Membercontrolsince 08/2019 · owns 25% to 50%
- W•••• E•••• S•••• · Managing Membercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 2 | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 568 to 521Jul 8, 2025 to Mar 24, 2026
- Charity clients · 11 to 9Jul 8, 2025 to Mar 24, 2026
- Corporate clients · 9 to 7Jul 8, 2025 to Mar 24, 2026
- HNW clients · 118 to 132Jul 8, 2025 to Mar 24, 2026
- Individual clients · 61 to 18Jul 8, 2025 to Mar 24, 2026
- Assets in custody · $179M to $201MJul 8, 2025 to Mar 24, 2026
- Discretionary RAUM · $367M to $417MJul 8, 2025 to Mar 24, 2026
- HNW RAUM · $359M to $409MJul 8, 2025 to Mar 24, 2026
- Individual RAUM · $10.6M to $3.3MJul 8, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $32.1M to $27.1MJul 8, 2025 to Mar 24, 2026
- Pension RAUM · $9.3M to $10.3MJul 8, 2025 to Mar 24, 2026
- RAUM · $399M to $444MJul 8, 2025 to Mar 24, 2026
- Financial planning clients · unset to Jun 30, 2025 to Jul 8, 2025
- Accounts · 557 to 568Feb 28, 2024 to Mar 27, 2025
- Charity clients · 10 to 11Feb 28, 2024 to Mar 27, 2025
- Corporate clients · 10 to 9Feb 28, 2024 to Mar 27, 2025
- HNW clients · 381 to 118Feb 28, 2024 to Mar 27, 2025
- Individual clients · 142 to 61Feb 28, 2024 to Mar 27, 2025
- Assets in custody · $171M to $179MFeb 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $324M to $367MFeb 28, 2024 to Mar 27, 2025
- HNW RAUM · $320M to $359MFeb 28, 2024 to Mar 27, 2025
- Individual RAUM · $15.5M to $10.6MFeb 28, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $38.9M to $32.1MFeb 28, 2024 to Mar 27, 2025
- Pension RAUM · $7.6M to $9.3MFeb 28, 2024 to Mar 27, 2025
- RAUM · $362M to $399MFeb 28, 2024 to Mar 27, 2025
- Accounts · 550 to 557May 30, 2023 to Feb 28, 2024
- HNW clients · 359 to 381May 30, 2023 to Feb 28, 2024
- Individual clients · 166 to 142May 30, 2023 to Feb 28, 2024
- Pension plan clients · 5 to 6May 30, 2023 to Feb 28, 2024
- Assets in custody · $151M to $171MMay 30, 2023 to Feb 28, 2024
- Discretionary RAUM · $267M to $324MMay 30, 2023 to Feb 28, 2024
- HNW RAUM · $281M to $320MMay 30, 2023 to Feb 28, 2024
- Individual RAUM · $16.2M to $15.5MMay 30, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $39.3M to $38.9MMay 30, 2023 to Feb 28, 2024
- Pension RAUM · $5.8M to $7.6MMay 30, 2023 to Feb 28, 2024
- RAUM · $306M to $362MMay 30, 2023 to Feb 28, 2024
- Accounts · 532 to 550Feb 25, 2022 to Mar 13, 2023
- Advisory activities · 3 to 2Feb 25, 2022 to Mar 13, 2023
- Charity clients · 8 to 10Feb 25, 2022 to Mar 13, 2023
- Corporate clients · 8 to 10Feb 25, 2022 to Mar 13, 2023
Signals
1 dated events
- P••••• B••• C••••••• L•• filed its initial SEC registration (Form ADV)Jul 15, 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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (213) 805-6698reportedpublic record, Form ADV, Mar 24, 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
- $222Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026