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•••• M••••••••• L••

Former SEC-registered adviserAlpharetta, GeorgiaCRD 314418SEC 801-121397IAPD
Latest filing Apr 17, 2023
First filing on the tape May 5, 2021 · 6 filings
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$175M as of Apr 3, 2023
Mar 22, 2022$297M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 3, 2023
Mar 22, 20223 then
Employees (5.A)5 as of Apr 3, 2023
Mar 22, 20225 then
Private funds: no history
RAUM -41% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 17, 2023; every figure names its basis
RAUM per advisor
$58.2MderivedRAUM 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
$87.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• B•••••••• T••••• · Membercontrol
        since 08/2020 · owns 25% to 50%
      • H•••• W••••••• H•••• · Membercontrol
        since 08/2020 · owns 25% to 50%
      • H•••••• J•••• M•••••• · Ccocontrol
        since 08/2020 · owns less than 5%
      • J••••••• S••••••••• K••• · Cfocontrol
        since 08/2020 · owns less than 5%
      • S•••••• V••••••••• A•••••• · Membercontrol
        since 08/2020 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list P•••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Guaynabo, PR3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 22, 2022 to Apr 3, 2023
      • Discretionary RAUM · $297M to $175M
        Mar 22, 2022 to Apr 3, 2023
      • RAUM · $297M to $175M
        Mar 22, 2022 to Apr 3, 2023
      • Accounts · 0 to 1
        Oct 1, 2021 to Mar 22, 2022
      • Discretionary RAUM · $0 to $297M
        Oct 1, 2021 to Mar 22, 2022
      • RAUM · $0 to $297M
        Oct 1, 2021 to Mar 22, 2022
      • Accounts · unset to 0.0
        May 5, 2021 to Oct 1, 2021
      • Discretionary RAUM · unset to 0.0
        May 5, 2021 to Oct 1, 2021
      • Non-discretionary RAUM · unset to 0.0
        May 5, 2021 to Oct 1, 2021
      • RAUM · unset to 0.0
        May 5, 2021 to Oct 1, 2021
      Signals
      2 dated events
      • P•••••• A•••• M••••••••• L•• reported RAUM $174.6M, down 41% from $297.2M (2022-03-22 to 2023-04-03)
        Apr 3, 2023 · RAUM change · derived
      • P•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 5, 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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026