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•••••••• F•••••••• P••••••• L••

Former SEC-registered adviserCRD 323902SEC 801-127185IAPD
Latest filing Jun 7, 2023
First filing on the tape Dec 14, 2022 · 5 filings
RAUM
$10.2M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$10.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$10.2M
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
5 filings and snapshots on the tape
RAUM$10.2M as of Jun 7, 2023
Dec 14, 2022$0 then
HNW client RAUM$2.2M as of Jun 7, 2023
Mar 29, 2023$2.2M then
State-registered IARs (5.B.3)1 as of Jun 7, 2023
Dec 14, 20221 then
Employees (5.A)1 as of Jun 7, 2023
Dec 14, 20221 then
Private funds: no history
Practice profile
derived from the filing of Jun 7, 2023; every figure names its basis
RAUM per advisor
$10.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
23derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$738,867derivedHNW RAUM over HNW clients
Average account
$151,722derivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • Individuals$7.9M78%
  • High-net-worth individuals$2.2M22%
Individual clients
20reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
67reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• F•••••• B••••••Scituate, MaJan 13, 202310 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• J•••••• F•••••• · Managing Member & Chief Compliance Officercontrol
      since 01/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Scituate, MA1 employees
    What changed
    consecutive filings, newest first
    • Commission compensation · false to true
      Mar 29, 2023 to Jun 7, 2023
    • Other offices · 0 to 1
      Mar 29, 2023 to Jun 7, 2023
    • Accounts · 0 to 67
      Jan 13, 2023 to Mar 29, 2023
    • HNW clients · unset to 3.0
      Jan 13, 2023 to Mar 29, 2023
    • Individual clients · unset to 20.0
      Jan 13, 2023 to Mar 29, 2023
    • Discretionary RAUM · $0 to $9.8M
      Jan 13, 2023 to Mar 29, 2023
    • HNW RAUM · unset to 2216600.0
      Jan 13, 2023 to Mar 29, 2023
    • Individual RAUM · unset to 7948749.0
      Jan 13, 2023 to Mar 29, 2023
    • Non-discretionary RAUM · $0 to $340,000
      Jan 13, 2023 to Mar 29, 2023
    • RAUM · $0 to $10.2M
      Jan 13, 2023 to Mar 29, 2023
    Signals
    1 dated events
    • P•••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 14, 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
    Firm profile
    LINKEDIN.COM/COMPANY/P••••••••-FINANCIAL-PARTNERreportedpublic record, Form ADV, Sep 19, 2026
    Website
    P••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $10.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026