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••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Feb 10, 2022 · 17 filings
SEC status approved since Mar 24, 2022
RAUM
$18.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.8M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$2.3M
derived; firm RAUM over IAPD count
Employees
44
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$18.8M as of Mar 29, 2026
Feb 13, 2025$12,962 then
HNW client RAUM$9.5M as of Mar 29, 2026
Jul 13, 2025$4.7M then
State-registered IARs (5.B.3)7 as of Mar 29, 2026
Apr 12, 20231 then
Employees (5.A)44 as of Mar 29, 2026
Apr 12, 20231 then
Private funds: no history
RAUM +144920% over the last fiscal yearIARs 1 to 7
Practice profile
derived from the filing of Mar 29, 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
- RAUM per advisor
- $2.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 565derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9,718derivedHNW RAUM over HNW clients
- Average account
- $4,158derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.5derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +144920%derivedbetween the last two annual amendments
- Advisor growth, one year
- +600%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$9.5M50%
- Individuals$9.3M50%
- Individual clients
- 3,548reported
- HNW clients
- 973reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4,521reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=34.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• K•••• | New York, Ny | Nov 15, 2023 | 17 y | 5 |
| J••••••• J• L•••• | Missouri City, Tx | Aug 13, 2025 | 13 y | 1 |
| A••••• M•••••• | Raleigh, Nc | Aug 13, 2025 | 11 y | 0 |
| T•••• A••••• M•••• | New York, Ny | Oct 21, 2025 | 10 y | 1 |
| E••• D••••• R••••••••• | Raleigh, Nc | Oct 22, 2025 | 10 y | 0 |
| M•••••• P•••• | Denver, Co | Jan 6, 2026 | 13 y | 2 |
| S•••••• W•••••• S•••• | Chatham, Nj | Mar 6, 2026 | 12 y | 1 |
| M•••••• M•••••• | New York, Ny | Jul 27, 2026 | 14 y | 2 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- M•••••• M•••••• from A••• I••••• A•••••••Jul 27, 2026 · RIA to RIA
- S•••••• W•••••• S•••• from S••• W••••• L••Mar 6, 2026 · RIA to RIA
- M•••••• P•••• from S•••••••• A••••••• L••Jan 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••• A••••• M•••• from L•• F•••••••• L••Oct 21, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••••• J• L•••• from C•••••• S••••• • C••• I•••Aug 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••• K•••• from J• W• C••• A•••••••• I•••Nov 15, 2023 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••••• E••••• A•• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
Entity owners
- P••••••••• · Memberdirect · owns 75% or more
- P••••• H•••••••• I••• · Memberindirect · owns 75% or more of P•••••••••
Related persons
Schedule D 7.A
- O••• T• T•• P••••• I••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 8 | 5 | 0 | ||
| Raleigh, Nc | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusua••• high clients per advisorStatic outlier · filing Mar 29, 2026private clients per advisor of 565.1 against a peer median of 31.5 (99 comparable advisers, 99.0th percentile, 22.1 robust deviations)peers: independent wealth managers, under $100M (99) · 99% percentile
- high employee count relative to advisorsStatic outlier · filing Mar 29, 2026employees per registered advisor of 5.5 against a peer median of 1.2 (71 comparable advisers, 100.0th percentile, 14.5 robust deviations)peers: independent wealth managers, under $100M (71) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,429 to 4,521Dec 9, 2025 to Mar 29, 2026
- Advisory employees · 3 to 2Dec 9, 2025 to Mar 29, 2026
- BD registered reps · 33 to 34Dec 9, 2025 to Mar 29, 2026
- HNW clients · 235 to 973Dec 9, 2025 to Mar 29, 2026
- Individual clients · 1,194 to 3,548Dec 9, 2025 to Mar 29, 2026
- Employees · 40 to 44Dec 9, 2025 to Mar 29, 2026
- State-registered IARs · 2 to 7Dec 9, 2025 to Mar 29, 2026
- Discretionary RAUM · $8.8M to $18.8MDec 9, 2025 to Mar 29, 2026
- HNW RAUM · $4.7M to $9.5MDec 9, 2025 to Mar 29, 2026
- Individual RAUM · $4.1M to $9.3MDec 9, 2025 to Mar 29, 2026
- RAUM · $8.8M to $18.8MDec 9, 2025 to Mar 29, 2026
- Accounts · 23 to 1,429May 1, 2025 to Jul 13, 2025
- Advisory employees · 1 to 3May 1, 2025 to Jul 13, 2025
- BD registered reps · 3 to 33May 1, 2025 to Jul 13, 2025
- Business name · P••••• A••••••• L••• to P••••• A••••••• L••May 1, 2025 to Jul 13, 2025
- HNW clients · unset to 235.0May 1, 2025 to Jul 13, 2025
- Individual clients · 23 to 1,194May 1, 2025 to Jul 13, 2025
- Employees · 5 to 40May 1, 2025 to Jul 13, 2025
- Financial planning clients · 11-25 to May 1, 2025 to Jul 13, 2025
- State-registered IARs · 1 to 2May 1, 2025 to Jul 13, 2025
- Legal name · P••••• A••••••• L••• to P••••• A••••••• L••May 1, 2025 to Jul 13, 2025
- Discretionary RAUM · $12,962 to $8.8MMay 1, 2025 to Jul 13, 2025
- HNW RAUM · unset to 4696328.0May 1, 2025 to Jul 13, 2025
- Individual RAUM · $12,962 to $4.1MMay 1, 2025 to Jul 13, 2025
- RAUM · $12,962 to $8.8MMay 1, 2025 to Jul 13, 2025
- Accounts · unset to 23.0Feb 22, 2024 to Feb 13, 2025
- BD registered reps · 1 to 3Feb 22, 2024 to Feb 13, 2025
- Individual clients · 0 to 23Feb 22, 2024 to Feb 13, 2025
- Employees · 1 to 5Feb 22, 2024 to Feb 13, 2025
- Financial planning clients · unset to 11-25Feb 22, 2024 to Feb 13, 2025
- Discretionary RAUM · unset to 12962.0Feb 22, 2024 to Feb 13, 2025
- Individual RAUM · $0 to $12,962Feb 22, 2024 to Feb 13, 2025
- Non-discretionary RAUM · unset to 0.0Feb 22, 2024 to Feb 13, 2025
- RAUM · unset to 12962.0Feb 22, 2024 to Feb 13, 2025
- Accounts · 0.0 to unsetMar 22, 2022 to Apr 12, 2023
- Individual clients · unset to 0.0Mar 22, 2022 to Apr 12, 2023
- Discretionary RAUM · 0.0 to unsetMar 22, 2022 to Apr 12, 2023
- Individual RAUM · unset to 0.0Mar 22, 2022 to Apr 12, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 22, 2022 to Apr 12, 2023
- RAUM · 0.0 to unsetMar 22, 2022 to Apr 12, 2023
Signals
4 dated events
- Ann E•••• V••••••• (Chief Compliance Officer) appeared on Schedule A of P••••• A••••••• L••Nov 20, 2023 · Control person joined · fact
- R A••• C••••••• (Chief Compliance Officer) no longer on Schedule A of P••••• A••••••• L•• (listed 2023-04-27, absent 2023-11-20)Nov 20, 2023 · Control person left · inference
- R A••• C••••••• (Chief Compliance Officer) appeared on Schedule A of P••••• A••••••• L••Apr 12, 2023 · Control person joined · fact
- O••• T• T•• P••••• A••••••• filed its initial SEC registration (Form ADV)Feb 10, 2022 · 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
- support@public.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/publichelloreportedpublic record, Form ADV, Sep 18, 2026
- Website
- public.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-401-6946reportedpublic record, Form ADV, Mar 29, 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
- $2.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026