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Former SEC-registered adviser

P••••• F••••••••• L••

Former SEC-registered adviserPasadena, CaliforniaCRD 324261SEC 801-127496IAPD
Latest filing Jul 27, 2023
First filing on the tape Feb 17, 2023 · 5 filings
RAUM
$5.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$5.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$5.7M as of Jul 27, 2023
Feb 17, 2023$0 then
HNW client RAUM$5.6M as of Jul 27, 2023
Jul 10, 2023$5.6M then
State-registered IARs (5.B.3)2 as of Jul 27, 2023
Feb 17, 20232 then
Employees (5.A)2 as of Jul 27, 2023
Feb 17, 20232 then
Private funds: no history
Practice profile
derived from the filing of Jul 27, 2023; every figure names its basis
RAUM per advisor
$2.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
5derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$638,661derivedRAUM 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
2.0derived1 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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$5.0M, 6 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)
  • 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$5.6M97%
  • Individuals$193,5613.4%
Individual clients
4reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.0M for 6 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••• D••••• P•••••Pasadena, CaMar 21, 202332 y2
M•••••• R••• C•••••• P•••••Pasadena, CaMar 21, 202318 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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• J••••••• D••••• · Managing Membercontrol
        since 01/2023 · owns 25% to 50%
      • P•••••• M••••••• R••• C•••••• · Managing Member & Chief Compliance Officercontrol
        since 01/2023 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Pasadena, Ca · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 4
        Jul 10, 2023 to Jul 27, 2023
      • Accounts · 0 to 9
        Mar 20, 2023 to Jul 10, 2023
      • HNW clients · unset to 5.0
        Mar 20, 2023 to Jul 10, 2023
      • Individual clients · unset to 4.0
        Mar 20, 2023 to Jul 10, 2023
      • Assets in custody · unset to 4977777.0
        Mar 20, 2023 to Jul 10, 2023
      • Custody of client assets · false to true
        Mar 20, 2023 to Jul 10, 2023
      • HNW RAUM · unset to 5554391.0
        Mar 20, 2023 to Jul 10, 2023
      • Individual RAUM · unset to 193561.0
        Mar 20, 2023 to Jul 10, 2023
      • Non-discretionary RAUM · $0 to $5.7M
        Mar 20, 2023 to Jul 10, 2023
      • RAUM · $0 to $5.7M
        Mar 20, 2023 to Jul 10, 2023
      Signals
      2 dated events
      • 2 advisors left I••••••••• F•••••••• G••••• L•• (San Diego, CA) for P••••• F••••••••• L•• on the same day
        Mar 22, 2023 · Team lift-out · derived
      • P••••• F••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 17, 2023 · 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/ABOUTreportedpublic record, Form ADV, Sep 21, 2026
      Website
      P•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 21, 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
      $2.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026