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•• R••••••••• C•••••••••
Legal name P•• C••••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Jul 12, 2019 · 13 filings
SEC status approved since Aug 12, 2019
RAUM
$559M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$559M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$506M as of Mar 25, 2026
Mar 31, 2020$156M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 31, 20202 then
Employees (5.A)5 as of Mar 25, 2026
Mar 31, 20202 then
Private funds: no history
RAUM +40% over the last fiscal year+60% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $559MderivedRAUM 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
- $8.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$559M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 66reported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• L•••• R••••••• | Overland Park, Ks | Aug 12, 2019 | 22 y | 5 |
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
- M••••••• L••••• G••••• to C••••••• P•••••••Jun 30, 2020 · Other
Joined, latest
- T••• L•••• R••••••• from B•••••• I••••••••• G••••Aug 12, 2019 · RIA to a newly registered adviser
- M••••••• L••••• G••••• from B••• V••••• W••••• A•••••••• I•••Aug 12, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••••• T•••• L•••• · Managing Member / Ccocontrolsince 07/2019 · 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
- Employees · 5 to 7Mar 25, 2026 to Sep 16, 2026
- Financial planning clients · 0 to 0Mar 25, 2026 to Sep 16, 2026
- Discretionary RAUM · $231M to $239MMar 25, 2026 to Sep 16, 2026
- Non-discretionary RAUM · $275M to $320MMar 25, 2026 to Sep 16, 2026
- Pension RAUM · $506M to $559MMar 25, 2026 to Sep 16, 2026
- RAUM · $506M to $559MMar 25, 2026 to Sep 16, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 16, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 16, 2026
- Succession · false to unsetMar 25, 2026 to Sep 16, 2026
- Accounts · 56 to 66Mar 28, 2025 to Mar 25, 2026
- Pension plan clients · 56 to 66Mar 28, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 1Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $202M to $231MMar 28, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $197M to $275MMar 28, 2025 to Mar 25, 2026
- Pension RAUM · $398M to $506MMar 28, 2025 to Mar 25, 2026
- RAUM · $398M to $506MMar 28, 2025 to Mar 25, 2026
- Accounts · 38 to 56Mar 5, 2024 to Mar 28, 2025
- Advisory employees · 1 to 3Mar 5, 2024 to Mar 28, 2025
- Pension plan clients · 38 to 56Mar 5, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 5, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 2Mar 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $157M to $202MMar 5, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $238M to $197MMar 5, 2024 to Mar 28, 2025
- Pension RAUM · $395M to $398MMar 5, 2024 to Mar 28, 2025
- RAUM · $395M to $398MMar 5, 2024 to Mar 28, 2025
- Accounts · 32 to 38Mar 31, 2023 to Mar 5, 2024
- Pension plan clients · 32 to 38Mar 31, 2023 to Mar 5, 2024
- Discretionary RAUM · $75.8M to $157MMar 31, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $60.1M to $238MMar 31, 2023 to Mar 5, 2024
- Pension RAUM · $136M to $395MMar 31, 2023 to Mar 5, 2024
- RAUM · $136M to $395MMar 31, 2023 to Mar 5, 2024
- Accounts · 26 to 32Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 2 to 1Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 26 to 32Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $86.6M to $75.8MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $34.0M to $60.1MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $121M to $136MMar 31, 2022 to Mar 31, 2023
- RAUM · $121M to $136MMar 31, 2022 to Mar 31, 2023
Signals
3 dated events
- P•• R••••••••• C••••••••• reported RAUM $506.2M, up 27% from $398.4M (2025-03-28 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- P•• R••••••••• C••••••••• reported RAUM $394.6M, up 190% from $136.0M (2023-03-31 to 2024-03-05)Mar 5, 2024 · RAUM change · derived
- P•• R••••••••• C••••••••• filed its initial SEC registration (Form ADV)Jul 12, 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
- Firm profile
- linkedin.com/company/phd-401kreportedpublic record, Form ADV, Sep 18, 2026
- Website
- PHDfirm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 844-743-4015reportedpublic record, Form ADV, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $559Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026