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••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 1, 2021 · 13 filings
SEC status approved since Aug 2, 2021
RAUM
$179M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
92%
$165M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.7M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$179M as of Mar 30, 2026
Mar 30, 2022$103M then
HNW client RAUM$145M as of Mar 30, 2026
Mar 30, 2022$76.4M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 30, 20222 then
Employees (5.A)6 as of Mar 30, 2026
Mar 30, 20225 then
Private funds: no history
RAUM +27% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 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
- 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
- RAUM per advisor
- $44.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $594,583derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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$145M81%
- Individuals$20.4M11%
- Investment companies$10.1M5.7%
- Charitable organizations$1.4M0.8%
- Banks and thrifts$1.3M0.7%
- Corporations and businesses$1.1M0.6%
- Insurance companies$100,0330.1%
- Individual clients
- 55reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 301reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.06 institutional_share=0.01 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 |
|---|---|---|---|---|
| R•••••• P•••••• P•••••• | Aiken, Sc | Jan 2, 2026 | 37 y | 2 |
| G••••• A••••• M••••••• | Sioux Falls, Sd | Jun 30, 2026 | 19 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- R•••••• P•••••• P•••••• from P••••• A•••• M•••••••••Jan 2, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• J••••• S••••• · Managing Director, Chief Investment Officercontrolsince 06/2021 · owns 75% or more
- K••••••• T•••• H••••• · Managing Director, Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- P••••• F••• M•••••••••investment advisernRAUM $10.1M
Advisers that list P••••• A•••• M••••••••• L•• as a related person
- 311304 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sioux Falls, Sd · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 314 to 301Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 2 to 3Mar 31, 2025 to Mar 30, 2026
- HNW clients · 45 to 39Mar 31, 2025 to Mar 30, 2026
- Individual clients · 47 to 55Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $139M to $178MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $116M to $145MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $9.6M to $20.4MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.0M to $1.3MMar 31, 2025 to Mar 30, 2026
- RAUM · $141M to $179MMar 31, 2025 to Mar 30, 2026
- Accounts · 291 to 314Mar 27, 2024 to Mar 31, 2025
- HNW clients · 46 to 45Mar 27, 2024 to Mar 31, 2025
- Individual clients · 48 to 47Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $127M to $139MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $106M to $116MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $9.4M to $9.6MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.2M to $2.0MMar 27, 2024 to Mar 31, 2025
- RAUM · $129M to $141MMar 27, 2024 to Mar 31, 2025
- Accounts · 306 to 291Nov 1, 2023 to Mar 27, 2024
- HNW clients · 44 to 46Nov 1, 2023 to Mar 27, 2024
- Individual clients · 86 to 48Nov 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $130M to $127MNov 1, 2023 to Mar 27, 2024
- HNW RAUM · $94.2M to $106MNov 1, 2023 to Mar 27, 2024
- Individual RAUM · $25.1M to $9.4MNov 1, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $2.4M to $2.2MNov 1, 2023 to Mar 27, 2024
- RAUM · $132M to $129MNov 1, 2023 to Mar 27, 2024
- Accounts · 248 to 306Jul 27, 2022 to Mar 30, 2023
- Corporate clients · 1 to 2Jul 27, 2022 to Mar 30, 2023
- HNW clients · 40 to 44Jul 27, 2022 to Mar 30, 2023
- Individual clients · 72 to 86Jul 27, 2022 to Mar 30, 2023
- Insurance-licensed employees · 2 to 3Jul 27, 2022 to Mar 30, 2023
- Other offices · 1 to 0Jul 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $100M to $130MJul 27, 2022 to Mar 30, 2023
- HNW RAUM · $76.4M to $94.2MJul 27, 2022 to Mar 30, 2023
- Individual RAUM · $20.1M to $25.1MJul 27, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $2.9M to $2.4MJul 27, 2022 to Mar 30, 2023
- RAUM · $103M to $132MJul 27, 2022 to Mar 30, 2023
- Advisory employees · 2 to 3Mar 30, 2022 to Jul 27, 2022
- Employees · 5 to 6Mar 30, 2022 to Jul 27, 2022
- Insurance-licensed employees · 1 to 2Mar 30, 2022 to Jul 27, 2022
Signals
1 dated events
- P••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 1, 2021 · 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 phone
- 610-806-9001reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-670-0972reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (610) 806-9001reportedpublic record, Form ADV, Mar 30, 2026
- Team page
- p•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $44.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026