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••••••
Legal name P•••••• A••••••• L••
Latest filing Apr 5, 2024
First filing on the tape Jun 12, 2022 · 10 filings
RAUM
$27,682
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$27,682 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM: $27,682
HNW client RAUM: $20,198
State-registered IARs (5.B.3)1 as of Apr 1, 2024
Mar 6, 20232 then
Employees (5.A)1 as of Apr 1, 2024
Mar 6, 20232 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Apr 5, 2024; every figure names its basis
- RAUM per advisor
- $27,682derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1,010derivedHNW RAUM over HNW clients
- Average account
- $326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$20,19873%
- Individuals$7,48427%
- Individual clients
- 65reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 85reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- A••••• J•• E••••••••• to F•••••••Dec 31, 2023 · Other
- G••••• S•••• G••••• to M••••• G••••• A••••••• I•••Apr 14, 2023 · Other
- T••••• M••••• K••••• to M••••••Feb 20, 2023 · Other
Joined, latest
- A••••• J•• E••••••••• from M••••• G••••• A••••••• I•••Apr 13, 2023 · RIA to a newly registered adviser
- G••••• S•••• G••••• from F••••Feb 23, 2023 · RIA to a newly registered adviser
- T••••• M••••• K••••• from R••••••••• M•••• M•••••••••Sep 2, 2022 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• C••••••••• D•••••• · Chief Compliance Officer And Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- M••••••••• C••••••••• D•••••• · Chief Executive Officercontrolsince 01/2022 · owns 75% or more of P•••••• T••••••••• I•••
Entity owners
- P•••••• T••••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••• I••••••• V••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Portland, Or | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 85.0Oct 4, 2023 to Apr 1, 2024
- Advisory employees · 2 to 1Oct 4, 2023 to Apr 1, 2024
- BD registered reps · 2 to 1Oct 4, 2023 to Apr 1, 2024
- HNW clients · unset to 20.0Oct 4, 2023 to Apr 1, 2024
- Individual clients · unset to 65.0Oct 4, 2023 to Apr 1, 2024
- Employees · 2 to 1Oct 4, 2023 to Apr 1, 2024
- State-registered IARs · 2 to 1Oct 4, 2023 to Apr 1, 2024
- Discretionary RAUM · unset to 27682.0Oct 4, 2023 to Apr 1, 2024
- HNW RAUM · unset to 20198.0Oct 4, 2023 to Apr 1, 2024
- Individual RAUM · unset to 7484.0Oct 4, 2023 to Apr 1, 2024
- Non-discretionary RAUM · unset to 0.0Oct 4, 2023 to Apr 1, 2024
- RAUM · unset to 27682.0Oct 4, 2023 to Apr 1, 2024
- Accounts · 0.0 to unsetDec 6, 2022 to Mar 6, 2023
- Advisory employees · 3 to 2Dec 6, 2022 to Mar 6, 2023
- BD registered reps · 1 to 2Dec 6, 2022 to Mar 6, 2023
- Employees · 3 to 2Dec 6, 2022 to Mar 6, 2023
- State-registered IARs · 3 to 2Dec 6, 2022 to Mar 6, 2023
- Discretionary RAUM · 0.0 to unsetDec 6, 2022 to Mar 6, 2023
- Non-discretionary RAUM · 0.0 to unsetDec 6, 2022 to Mar 6, 2023
- RAUM · 0.0 to unsetDec 6, 2022 to Mar 6, 2023
- Related broker-dealer · false to trueJun 12, 2022 to Sep 8, 2022
Signals
4 dated events
- A••••• J•• E••••••••• left Pattern for Fruitful (registered 2024-01-16)Dec 31, 2023 · Advisor changed firm · fact
- G••••• S•••• G••••• left Pattern for M••••• G••••• A••••••• I••• (registered 2023-06-27)Apr 14, 2023 · Advisor changed firm · fact
- T••••• M••••• K••••• left Pattern for Mariner (registered 2023-02-21)Feb 20, 2023 · Advisor changed firm · fact
- Pattern filed its initial SEC registration (Form ADV)Jun 12, 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