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•••••• P•••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 323081SEC 801-126526IAPD
Latest filing Jan 27, 2023
First filing on the tape Aug 9, 2022 · 9 filings
RAUM
$33.1M
reported, Item 5.F
Discretionary
18%
of RAUM
Private clients
100%
$33.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$33.1M
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
9 filings and snapshots on the tape
RAUM$33.1M as of Jan 27, 2023
Aug 9, 2022$0 then
HNW client RAUM$32.7M as of Jan 27, 2023
Nov 28, 2022$32.7M then
State-registered IARs (5.B.3)1 as of Jan 27, 2023
Aug 9, 20221 then
Employees (5.A)1 as of Jan 27, 2023
Aug 9, 20221 then
Private funds: no history
Practice profile
derived from the filing of Jan 27, 2023; every figure names its basis
RAUM per advisor
$33.1MderivedRAUM 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
18%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
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$5.8M, 8 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$32.7M99%
  • Individuals$396,0001.2%
Individual clients
8reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.8M for 8 clientsreported
Compensation
fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••••••• M•••••• P•••Walnut Creek, CaJan 1, 202610 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P•••• A••••••••• M•••••• · Managing Member & Chief Compliance Officercontrol
      since 08/2022 · 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
    • Advisory activities · 3 to 2
      Nov 28, 2022 to Dec 22, 2022
    • Assets in custody · unset to 5760000.0
      Nov 28, 2022 to Dec 22, 2022
    • Custody of client assets · false to true
      Nov 28, 2022 to Dec 22, 2022
    • HQ city · WALNUT CREEK to unset
      Nov 28, 2022 to Dec 22, 2022
    • HQ state · CA to unset
      Nov 28, 2022 to Dec 22, 2022
    • Accounts · 0 to 23
      Sep 8, 2022 to Nov 28, 2022
    • Individual clients · unset to 8.0
      Sep 8, 2022 to Nov 28, 2022
    • Discretionary RAUM · $0 to $5.9M
      Sep 8, 2022 to Nov 28, 2022
    • HNW RAUM · unset to 32704000.0
      Sep 8, 2022 to Nov 28, 2022
    • Individual RAUM · unset to 396000.0
      Sep 8, 2022 to Nov 28, 2022
    • Non-discretionary RAUM · $0 to $27.2M
      Sep 8, 2022 to Nov 28, 2022
    • RAUM · $0 to $33.1M
      Sep 8, 2022 to Nov 28, 2022
    Signals
    1 dated events
    • P••• C•••••• P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 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
    $33.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026