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.
Former SEC-registered adviser
Plato'S Philosophy, LLC
Latest filing Dec 11, 2024
First filing on the tape Sep 9, 2022 · 14 filings
SEC status approved since Oct 11, 2022
RAUM
$39.4M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$39.4M as of Mar 27, 2024
Mar 30, 2023$23.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 27, 2024
Mar 30, 20232 then
Employees (5.A)9 as of Mar 27, 2024
Mar 30, 20233 then
Private funds: no history
RAUM +71% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Dec 11, 2024; every figure names its basis
- RAUM per advisor
- $13.1MderivedRAUM 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
- $39.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +71%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$39.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- Brian Patrick Sweeney to Cadaret Grant & Co IncAug 13, 2023 · Other
Joined, latest
- Brian Patrick Sweeney from Thurston Springer AdvisorsOct 12, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Helmut Kevin Paffrath · Ceo / Presidentcontrolsince 09/2022 · owns 75% or more
- Joseph Mckay Thomason · Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- Edward Kenneth Traynham · Chief Compliance Officer / Chief Legal Officercontrolsince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
- House Hack, Inc.investment companypooled vehicle sponsorn
- Kenneth E. Traynham, Esq.y
- Kevin Paffrathinvestment companypooled vehicle sponsory
- Lawhack, Apcy
- Suithack, LLCbroker-dealern
- The Paffrath Organizationinvestment companyy
- Tidal Investments LLCinvestment advisernRAUM $46B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 1Oct 1, 2024 to Dec 11, 2024
- Advisory activities · 4 to 1Oct 1, 2024 to Dec 11, 2024
- Employees · 6 to 4Oct 1, 2024 to Dec 11, 2024
- Financial planning clients · 26-50 to 11-25Oct 1, 2024 to Dec 11, 2024
- State-registered IARs · 4 to 3Oct 1, 2024 to Dec 11, 2024
- Discretionary RAUM · $40.2M to $39.4MOct 1, 2024 to Dec 11, 2024
- RAUM · $40.2M to $39.4MOct 1, 2024 to Dec 11, 2024
- Related insurance company · true to falseOct 1, 2024 to Dec 11, 2024
- Advisory employees · 1 to 4Aug 29, 2024 to Oct 1, 2024
- Advisory activities · 1 to 4Aug 29, 2024 to Oct 1, 2024
- Employees · 2 to 6Aug 29, 2024 to Oct 1, 2024
- Financial planning clients · 0 to 26-50Aug 29, 2024 to Oct 1, 2024
- State-registered IARs · 1 to 4Aug 29, 2024 to Oct 1, 2024
- Discretionary RAUM · $39.4M to $40.2MAug 29, 2024 to Oct 1, 2024
- RAUM · $39.4M to $40.2MAug 29, 2024 to Oct 1, 2024
- Advisory employees · 5 to 1Apr 1, 2024 to May 31, 2024
- Advisory activities · 3 to 1Apr 1, 2024 to May 31, 2024
- Employees · 9 to 2Apr 1, 2024 to May 31, 2024
- Financial planning clients · 26-50 to 0Apr 1, 2024 to May 31, 2024
- State-registered IARs · 5 to 1Apr 1, 2024 to May 31, 2024
- Employees · 6 to 9Oct 23, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 26-50Oct 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $38.1M to $39.4MOct 23, 2023 to Mar 27, 2024
- RAUM · $38.1M to $39.4MOct 23, 2023 to Mar 27, 2024
- Advisory employees · 4 to 5Aug 28, 2023 to Oct 23, 2023
- State-registered IARs · 4 to 5Aug 28, 2023 to Oct 23, 2023
- Related broker-dealer · false to trueAug 22, 2023 to Aug 28, 2023
- Advisory activities · 1 to 3Aug 13, 2023 to Aug 22, 2023
- Employees · 5 to 6Aug 13, 2023 to Aug 22, 2023
- Discretionary RAUM · $40.2M to $38.1MAug 13, 2023 to Aug 22, 2023
- RAUM · $40.2M to $38.1MAug 13, 2023 to Aug 22, 2023
- Advisory employees · 2 to 4Mar 30, 2023 to Aug 13, 2023
- BD registered reps · 1 to 0Mar 30, 2023 to Aug 13, 2023
- Employees · 3 to 5Mar 30, 2023 to Aug 13, 2023
- State-registered IARs · 2 to 4Mar 30, 2023 to Aug 13, 2023
- Discretionary RAUM · $23.0M to $40.2MMar 30, 2023 to Aug 13, 2023
- RAUM · $23.0M to $40.2MMar 30, 2023 to Aug 13, 2023
- Related insurance company · false to trueMar 30, 2023 to Aug 13, 2023
- Accounts · 0 to 1Nov 7, 2022 to Mar 30, 2023
- Advisory employees · 1 to 2Nov 7, 2022 to Mar 30, 2023
Signals
11 dated events
- Plato'S Philosophy, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $39.4M)Mar 6, 2025 · Left the SEC roster · derived
- Mendoza Christian Luigi Cubacub (Chief Information Officer) no longer on Schedule A of Plato'S Philosophy, Llc (listed 2024-10-01, absent 2024-12-11)Dec 11, 2024 · Control person left · inference
- Mendoza Christian Luigi Cubacub (Chief Information Officer) appeared on Schedule A of Plato'S Philosophy, LlcOct 1, 2024 · Control person joined · fact
- Thomas John Mcdevitt (Chief Compliance Officer) no longer on Schedule A of Plato'S Philosophy, Llc (listed 2024-08-29, absent 2024-10-01)Oct 1, 2024 · Control person left · inference
- Brian Patrick Sweeney left Plato'S Philosophy, Llc for Cadaret Grant & Co Inc (registered 2023-05-11)Aug 13, 2023 · Advisor changed firm · fact
- Patrick Brian Sweeney (Chief Compliance Officer) no longer on Schedule A of Plato'S Philosophy, Llc (listed 2023-03-30, absent 2023-08-13)Aug 13, 2023 · Control person left · inference
- John Mcdevitt (Chief Compliance Officer) appeared on Schedule A of Plato'S Philosophy, LlcAug 13, 2023 · Control person joined · fact
- Mckay Thomason (Chief Operating Officer) appeared on Schedule A of Plato'S Philosophy, LlcAug 13, 2023 · Control person joined · fact
- Edward Kenneth Traynham (Chief Legal Officer) appeared on Schedule A of Plato'S Philosophy, LlcAug 13, 2023 · Control person joined · fact
- Patrick Brian Sweeney (Chief Compliance Officer) appeared on Schedule A of Plato'S Philosophy, LlcOct 11, 2022 · Control person joined · fact
- Plato'S Philosophy, Llc filed its initial SEC registration (Form ADV)Sep 9, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026