DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•• W••••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 1, 2024 · 6 filings
SEC status approved since Apr 1, 2024
RAUM
$310M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$310M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$310M as of Mar 17, 2026
Mar 11, 2025$175M then
HNW client RAUM$283M as of Mar 17, 2026
Mar 11, 2025$136M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 11, 20252 then
Employees (5.A)7 as of Mar 17, 2026
Mar 11, 20256 then
Private funds: no history
RAUM +77% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 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
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $385,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +77%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $143,384, 5 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)
- 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$283M91%
- Individuals$26.8M8.6%
- Individual clients
- 51reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 804reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $143,384 for 5 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| P••• T••••• M•••••Chartered Financial Consultant | North Wales, Pa | May 11, 2020 | 25 y | 4 |
| T•••• B•••••Certified Financial Planner | North Wales, Pa | Jan 3, 2022 | 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
- P••• T••••• M••••• from K••••• A••••••• S•••••••• L••May 11, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P•••• T••••• · President And Chief Compliance Officercontrolsince 04/2020 · 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 |
|---|---|---|---|---|---|
| North Wales, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 17, 2026discretionary share of RAUM moved from 100.0% to 83.0% between the annual amendments of 2025-03-11 and 2026-03-17peers: independent wealth managers, $100M to $500M (5,678)
- account count surgeChange between filings · filing Mar 17, 2026accounts (Item 5.F.2.f) moved from 505.0 to 804.0 (+59.0%) between the annual amendments of 2025-03-11 and 2026-03-17; the peer median change was +5.0% (3685 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 96% percentile
- RAUM up 50 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $175,290,000 to $310,164,831 (+77.0%) between the annual amendments of 2025-03-11 and 2026-03-17; the peer median change was +15.0% (4548 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 98% percentile
- custody status changedChange between filings · filing Mar 17, 2026custody of client assets (Item 9.A): no on the filing of 2025-06-18, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 505 to 804Jun 18, 2025 to Mar 17, 2026
- HNW clients · 58 to 113Jun 18, 2025 to Mar 17, 2026
- Individual clients · 79 to 51Jun 18, 2025 to Mar 17, 2026
- Assets in custody · unset to 143384.0Jun 18, 2025 to Mar 17, 2026
- Custody of client assets · false to trueJun 18, 2025 to Mar 17, 2026
- Employees · 6 to 7Jun 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $175M to $257MJun 18, 2025 to Mar 17, 2026
- HNW RAUM · $136M to $283MJun 18, 2025 to Mar 17, 2026
- Individual RAUM · $39.8M to $26.8MJun 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $0 to $52.9MJun 18, 2025 to Mar 17, 2026
- RAUM · $175M to $310MJun 18, 2025 to Mar 17, 2026
- Financial planning clients · 101-250 to 101-250Mar 11, 2025 to Jun 18, 2025
- Accounts · 421 to 505Apr 25, 2024 to Mar 11, 2025
- HNW clients · 40 to 58Apr 25, 2024 to Mar 11, 2025
- Individual clients · 76 to 79Apr 25, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 101-250Apr 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $124M to $175MApr 25, 2024 to Mar 11, 2025
- HNW RAUM · $87.2M to $136MApr 25, 2024 to Mar 11, 2025
- Individual RAUM · $37.0M to $39.8MApr 25, 2024 to Mar 11, 2025
- RAUM · $124M to $175MApr 25, 2024 to Mar 11, 2025
- Advisory activities · 2 to 3Apr 9, 2024 to Apr 25, 2024
- Financial planning clients · 101-250 to 1-10Apr 9, 2024 to Apr 25, 2024
Signals
2 dated events
- P•• W••••• M••••••••• L•• reported RAUM $310.2M, up 77% from $175.3M (2025-06-18 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- P•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2024 · 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
- Business email
- a••••@p••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 267-317-1514reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 267-317-1515reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/ptmwealthreportedpublic record, Form ADV, Sep 21, 2026
- Website
- p••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 267-317-1515reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- p••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- p••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026