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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Former SEC-registered adviser

P••••••• A••••••••• W••••• M••••••••• L••

Former SEC-registered adviserMetairie, LouisianaCRD 305339SEC 801-117303IAPD
Latest filing Jan 30, 2020
First filing on the tape Aug 7, 2019 · 7 filings
RAUM
$47.4M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$46.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$23.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$47.4M as of Jan 30, 2020
Aug 7, 2019$0 then
HNW client RAUM$41.2M as of Jan 30, 2020
Aug 7, 2019$0 then
State-registered IARs (5.B.3)2 as of Jan 30, 2020
Aug 7, 20190 then
Employees (5.A)2 as of Jan 30, 2020
Aug 7, 20192 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 30, 2020; every figure names its basis
RAUM per advisor
$23.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$316,145derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$41.2M87%
  • Individuals$4.8M10%
  • Charitable organizations$1.4M3.0%
Individual clients
32reported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
150reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••• C•••••• F•••••••Certified Financial PlannerMetairie, LaSep 14, 201929 y2
R••••• L•••• H•••••Chartered Financial AnalystMetairie, La Apr 16, 202039 y1
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N•••• A•••••• B•••• · Chief Compliance Officer & Managing Membercontrol
    since 09/2019 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Metairie, La · principal200
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Assets in custody · 47578666.0 to unset
    Jan 10, 2020 to Jan 30, 2020
  • Custody of client assets · true to false
    Jan 10, 2020 to Jan 30, 2020
  • Accounts · 0 to 150
    Sep 6, 2019 to Jan 10, 2020
  • Charity clients · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • Corporate clients · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • HNW clients · 0 to 27
    Sep 6, 2019 to Jan 10, 2020
  • Individual clients · 0 to 32
    Sep 6, 2019 to Jan 10, 2020
  • Pension plan clients · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • Pooled vehicle clients · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • Assets in custody · unset to 47578666.0
    Sep 6, 2019 to Jan 10, 2020
  • Custody of client assets · false to true
    Sep 6, 2019 to Jan 10, 2020
  • Financial planning clients · 0 to 1-10
    Sep 6, 2019 to Jan 10, 2020
  • State-registered IARs · 0 to 2
    Sep 6, 2019 to Jan 10, 2020
  • Discretionary RAUM · $0 to $44.4M
    Sep 6, 2019 to Jan 10, 2020
  • HNW RAUM · $0 to $41.2M
    Sep 6, 2019 to Jan 10, 2020
  • Individual RAUM · $0 to $4.8M
    Sep 6, 2019 to Jan 10, 2020
  • Non-discretionary RAUM · $0 to $3.0M
    Sep 6, 2019 to Jan 10, 2020
  • Pension RAUM · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • Pooled vehicle RAUM · 0.0 to unset
    Sep 6, 2019 to Jan 10, 2020
  • RAUM · $0 to $47.4M
    Sep 6, 2019 to Jan 10, 2020
Signals
2 dated events
  • A••••• B•••• N••• left P••••••• A••••••••• W••••• M••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2022-11-16)
    Nov 1, 2022 · Advisor changed firm · fact
  • P••••••• A••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 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
Website
P•••••••-ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$23.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026