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•••••••• P••••••• L•••
Latest filing Sep 30, 2025
First filing on the tape Oct 21, 2019 · 11 filings
SEC status approved since Dec 13, 2019
RAUM
$31.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$31.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$10.5M
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
11 filings and snapshots on the tape
RAUM$31.5M as of Sep 30, 2025
Oct 20, 2020$19.3M then
HNW client RAUM$29.0M as of Sep 30, 2025
Oct 20, 2020$18.2M then
State-registered IARs (5.B.3)2 as of Sep 30, 2025
Oct 20, 20201 then
Employees (5.A)4 as of Sep 30, 2025
Oct 20, 20203 then
Private funds: no history
RAUM +23% over the last fiscal year+13% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 30, 2025; 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
- $10.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$29.0M92%
- Individuals$2.2M6.8%
- Charitable organizations$381,1331.2%
- Individual clients
- 6reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 24reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• H••• P•••••••• | Hamilton | Dec 13, 2019 | 35 y | 0 |
| J••••••• A•• P••••••••Certified Financial Planner | Hamilton | Dec 13, 2019 | 19 y | 0 |
| C••••• H•••• P•••••• P•••••••• | Hamilton | Apr 16, 2025 | 10 y | 0 |
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• J••••••• H••• · Presidentcontrolsince 11/2006 · owns 75% or more
- P••••••••• J•••••••• A•• · Managing Member/Chief Compliance Officercontrolsince 11/2006 · owns less than 5%
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 · 23 to 24Apr 8, 2025 to Sep 30, 2025
- HNW clients · 6 to 9Apr 8, 2025 to Sep 30, 2025
- Individual clients · 7 to 6Apr 8, 2025 to Sep 30, 2025
- Employees · 3 to 4Apr 8, 2025 to Sep 30, 2025
- State-registered IARs · 1 to 2Apr 8, 2025 to Sep 30, 2025
- Discretionary RAUM · $27.1M to $31.5MApr 8, 2025 to Sep 30, 2025
- HNW RAUM · $22.9M to $29.0MApr 8, 2025 to Sep 30, 2025
- Individual RAUM · $3.9M to $2.2MApr 8, 2025 to Sep 30, 2025
- Non-discretionary RAUM · $4,187 to $0Apr 8, 2025 to Sep 30, 2025
- RAUM · $27.2M to $31.5MApr 8, 2025 to Sep 30, 2025
- Financial planning clients · 11-25 to 11-25Oct 1, 2024 to Apr 8, 2025
- HQ city · PEMBROKE to HAMILTONOct 1, 2024 to Apr 8, 2025
- HQ state · unset to Oct 1, 2024 to Apr 8, 2025
- Accounts · 13 to 23Oct 17, 2023 to Oct 1, 2024
- HNW clients · 10 to 6Oct 17, 2023 to Oct 1, 2024
- Individual clients · 2 to 7Oct 17, 2023 to Oct 1, 2024
- Employees · 4 to 3Oct 17, 2023 to Oct 1, 2024
- Financial planning clients · 1-10 to 11-25Oct 17, 2023 to Oct 1, 2024
- Discretionary RAUM · $25.6M to $27.1MOct 17, 2023 to Oct 1, 2024
- HNW RAUM · $23.4M to $22.9MOct 17, 2023 to Oct 1, 2024
- Individual RAUM · $1.9M to $3.9MOct 17, 2023 to Oct 1, 2024
- Non-discretionary RAUM · $0 to $4,187Oct 17, 2023 to Oct 1, 2024
- RAUM · $25.6M to $27.2MOct 17, 2023 to Oct 1, 2024
- Accounts · 14 to 13Oct 13, 2022 to Oct 17, 2023
- Discretionary RAUM · $18.0M to $25.6MOct 13, 2022 to Oct 17, 2023
- HNW RAUM · $16.9M to $23.4MOct 13, 2022 to Oct 17, 2023
- Individual RAUM · $841,738 to $1.9MOct 13, 2022 to Oct 17, 2023
- RAUM · $18.0M to $25.6MOct 13, 2022 to Oct 17, 2023
- Accounts · 12 to 14Oct 8, 2021 to Oct 13, 2022
- Advisory activities · 5 to 4Oct 8, 2021 to Oct 13, 2022
- Charity clients · unset to 1.0Oct 8, 2021 to Oct 13, 2022
- HNW clients · 8 to 10Oct 8, 2021 to Oct 13, 2022
- Individual clients · unset to 2.0Oct 8, 2021 to Oct 13, 2022
- Discretionary RAUM · $21.6M to $18.0MOct 8, 2021 to Oct 13, 2022
- HNW RAUM · $20.4M to $16.9MOct 8, 2021 to Oct 13, 2022
- Individual RAUM · $841,732 to $841,738Oct 8, 2021 to Oct 13, 2022
- RAUM · $21.6M to $18.0MOct 8, 2021 to Oct 13, 2022
- Advisory employees · 1 to 2Jun 16, 2021 to Oct 8, 2021
- Advisory activities · 4 to 5Jun 16, 2021 to Oct 8, 2021
- Employees · 3 to 4Jun 16, 2021 to Oct 8, 2021
Signals
1 dated events
- P•••••••• P••••••• L••• filed its initial SEC registration (Form ADV)Oct 21, 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/patterson-partners-ltd.reportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 441-296-3528reportedpublic record, Form ADV, Sep 30, 2025
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
- $10.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026