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•••••• I••••••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Feb 26, 2021 · 12 filings
SEC status approved since May 7, 2026
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$91.0M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$11.7M
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$129M as of Jun 30, 2026
Apr 22, 2022$46.0M then
HNW client RAUM$64.2M as of Jun 30, 2026
Apr 22, 2022$31.8M then
State-registered IARs (5.B.3)9 as of Jun 30, 2026
Apr 22, 20227 then
Employees (5.A)12 as of Jun 30, 2026
Apr 22, 20228 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 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
- RAUM per advisor
- $11.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $472,426derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.2derived5 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 fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.2M50%
- Pension and profit-sharing plans$36.2M28%
- Individuals$26.8M21%
- Charitable organizations$1.3M1.0%
- Individual clients
- 190reported
- HNW clients
- 40reported
- Pension plan clients
- 40reported
- Charitable clients
- n/areported
- Accounts
- 272reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• V• D••••Certified Financial Planner | Baton Rouge, La | May 17, 2021 | 19 y | 3 |
| A••• B••••• C•••• | Baton Rouge, La | May 28, 2021 | 20 y | 3 |
| S••• E• D•••• | Baton Rouge, La | May 28, 2021 | 21 y | 3 |
| R•••••• B•••••• R••••••••• | Baton Rouge, La | Jun 22, 2021 | 28 y | 3 |
| K•••• B•••••• R••••••••• | Baton Rouge, La | Jun 22, 2021 | 22 y | 3 |
| L••••• P••• H••••••• | Baton Rouge, La | Oct 14, 2021 | 16 y | 1 |
| R•••••• C••• T••••• | Baton Rouge, La | Oct 28, 2022 | 19 y | 0 |
| S••• P•••••• O••••• | Baton Rouge, La | Apr 1, 2025 | 18 y | 0 |
| B••• P•••••• B•••••••• | Baton Rouge, La | Dec 23, 2025 | 19 y | 7 |
| F•••••• A• R••••••••• | Baton Rouge, La | Jul 1, 2026 | 19 y | 4 |
| P••••• F•••• D•••••• | Baton Rouge, La | Sep 8, 2026 | 31 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- F•••••• A• R••••••••• from L•••• F••• A••••••• S•••••••Jul 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- B••• P•••••• B•••••••• from C••••• I••••••••• A••••••• L••Dec 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- L••••• P••• H••••••• from P•••••••• A•••••••Oct 14, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• B•••••• R••••••••• from F•••• H•••••••• C••••••••• I•••Jun 22, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• B•••••• R••••••••• from C••••• A••••••• L••Jun 22, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- S••• E• D•••• from L•••• F••• A••••••• S•••••••May 28, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- A••• B••••• C•••• from L•••• F••• A••••••• S•••••••May 28, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••••• V• D•••• from K•••••• W••••• A•••••••• L••May 17, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•••• F••• A••••••• S•••••••May 27, 2021 · Baton Rouge, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• K••••••• V• · Co-Managing Member/Ccocontrolsince 04/2021 · owns 25% to 50%
- D••••• S•••• E• · Co-Managing Membercontrolsince 06/2021 · owns 25% to 50%
- O••••• M•••••••• R••••••••• · Co-Managing Membercontrolsince 01/2021 · owns 10% to 25%
- R••••••••• K••••• B•••••• · Co-Managing Membercontrolsince 01/2021 · owns 10% to 25%
- R••••••••• R••••••• B•••••• · Co-Managing Membercontrolsince 01/2021 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Baton Rouge, La · principal | 11 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Baton Rouge, LA3 employees
What changed
consecutive filings, newest first
- RAUM · $46.0M to $129MJun 6, 2022 to Apr 9, 2026
- Accounts · 154 to 272Jun 6, 2022 to Apr 9, 2026
- Advisory employees · 7 to 10Jun 6, 2022 to Apr 9, 2026
- Advisory activities · 2 to 4Jun 6, 2022 to Apr 9, 2026
- BD registered reps · 5 to 2Jun 6, 2022 to Apr 9, 2026
- Charity clients · 1.0 to unsetJun 6, 2022 to Apr 9, 2026
- HNW clients · 33 to 40Jun 6, 2022 to Apr 9, 2026
- Individual clients · 63 to 190Jun 6, 2022 to Apr 9, 2026
- Pension plan clients · 17 to 40Jun 6, 2022 to Apr 9, 2026
- Commission compensation · false to trueJun 6, 2022 to Apr 9, 2026
- Employees · 8 to 12Jun 6, 2022 to Apr 9, 2026
- Financial planning clients · 11-25 to 11-25Jun 6, 2022 to Apr 9, 2026
- State-registered IARs · 7 to 9Jun 6, 2022 to Apr 9, 2026
- Other offices · 1 to 4Jun 6, 2022 to Apr 9, 2026
- Discretionary RAUM · $46.0M to $128MJun 6, 2022 to Apr 9, 2026
- HNW RAUM · $31.8M to $64.2MJun 6, 2022 to Apr 9, 2026
- Individual RAUM · $7.9M to $26.8MJun 6, 2022 to Apr 9, 2026
- Non-discretionary RAUM · $0 to $200,000Jun 6, 2022 to Apr 9, 2026
- Pension RAUM · $5.8M to $36.2MJun 6, 2022 to Apr 9, 2026
- Related broker-dealer · true to falseJun 6, 2022 to Apr 9, 2026
- Related insurance company · false to trueJun 6, 2022 to Apr 9, 2026
- Accounts · 0 to 154Oct 6, 2021 to Apr 22, 2022
- Advisory employees · 3 to 7Oct 6, 2021 to Apr 22, 2022
- BD registered reps · 2 to 5Oct 6, 2021 to Apr 22, 2022
- Charity clients · unset to 1.0Oct 6, 2021 to Apr 22, 2022
- HNW clients · unset to 33.0Oct 6, 2021 to Apr 22, 2022
- Individual clients · unset to 63.0Oct 6, 2021 to Apr 22, 2022
- Pension plan clients · unset to 17.0Oct 6, 2021 to Apr 22, 2022
- Employees · 4 to 8Oct 6, 2021 to Apr 22, 2022
- Financial planning clients · 0 to 11-25Oct 6, 2021 to Apr 22, 2022
- State-registered IARs · 3 to 7Oct 6, 2021 to Apr 22, 2022
- Discretionary RAUM · $0 to $46.0MOct 6, 2021 to Apr 22, 2022
- HNW RAUM · unset to 31756235.0Oct 6, 2021 to Apr 22, 2022
- Individual RAUM · unset to 7871201.0Oct 6, 2021 to Apr 22, 2022
- Pension RAUM · unset to 5809490.0Oct 6, 2021 to Apr 22, 2022
- RAUM · $0 to $46.0MOct 6, 2021 to Apr 22, 2022
- Advisory employees · 2 to 3May 12, 2021 to Jun 15, 2021
- State-registered IARs · 2 to 3May 12, 2021 to Jun 15, 2021
- Other offices · 0 to 1Jun 15, 2021 to Jun 15, 2021
Signals
4 dated events
- E S••• D•••• (Co-Managing Member) appeared on Schedule A of P•••••• I••••••••• A•••••••• L••Oct 6, 2021 · Control person joined · fact
- V••••••• K•••••• D•••• (Managing Member/Cco) appeared on Schedule A of P•••••• I••••••••• A•••••••• L••May 12, 2021 · Control person joined · fact
- E S••• D•••• (Managing Member) no longer on Schedule A of P•••••• I••••••••• A•••••••• L•• (listed 2021-03-02, absent 2021-04-15)Apr 15, 2021 · Control person left · inference
- P•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 26, 2021 · ria f•••• adv filing · 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
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 225-293-9283reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 510-455-6735reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 225-293-9283reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- 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
- $11.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026