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• C••••••

Former SEC-registered adviserSimi Valley, CaliforniaCRD 319410SEC 801-124977IAPD
Legal name B•••••• P••••••
Latest filing Sep 14, 2022
First filing on the tape Apr 8, 2022 · 6 filings
RAUM
$28.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$28.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$28.4M
derived; firm RAUM over IAPD count
Employees
1
1 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$28.4M as of Sep 14, 2022
Apr 8, 2022$0 then
HNW client RAUM$12.7M as of Sep 14, 2022
Jul 19, 2022$12.7M then
State-registered IARs (5.B.3)1 as of Sep 14, 2022
Apr 8, 20221 then
Employees (5.A)1 as of Sep 14, 2022
Apr 8, 20221 then
Private funds: no history
Practice profile
derived from the filing of Sep 14, 2022; every figure names its basis
RAUM per advisor
$28.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
180derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$144,678derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$15.6M, 107 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$15.6M55%
  • High-net-worth individuals$12.7M45%
Individual clients
173reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
196reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$15.6M for 107 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••••• T••••• B•••••Simi Valley, CaMay 10, 202228 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• P••••••• T••••• · Owner & Chief Compliance Officercontrol
      since 05/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $28.4M to $0
      Jul 19, 2022 to Aug 12, 2022
    • Non-discretionary RAUM · $0 to $28.4M
      Jul 19, 2022 to Aug 12, 2022
    • Accounts · 0 to 196
      May 10, 2022 to Jul 19, 2022
    • HNW clients · unset to 7.0
      May 10, 2022 to Jul 19, 2022
    • Individual clients · unset to 173.0
      May 10, 2022 to Jul 19, 2022
    • Assets in custody · unset to 15619899.0
      May 10, 2022 to Jul 19, 2022
    • Custody of client assets · false to true
      May 10, 2022 to Jul 19, 2022
    • Discretionary RAUM · $0 to $28.4M
      May 10, 2022 to Jul 19, 2022
    • HNW RAUM · unset to 12720779.0
      May 10, 2022 to Jul 19, 2022
    • Individual RAUM · unset to 15636183.0
      May 10, 2022 to Jul 19, 2022
    • RAUM · $0 to $28.4M
      May 10, 2022 to Jul 19, 2022
    Signals
    1 dated events
    • P• C•••••• filed its initial SEC registration (Form ADV)
      Apr 8, 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.
    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
    $28.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026