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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SEC-registered adviser
P••••••• P•••••• M••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Oct 27, 2023 · 8 filings
SEC status approved since Nov 27, 2023
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$287M as of Aug 21, 2026
Mar 13, 2024$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 21, 2026
Mar 13, 20240 then
Employees (5.A)6 as of Aug 21, 2026
Mar 13, 20246 then
Private funds13 as of Aug 21, 2026
Mar 13, 202410 then
RAUM +28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
- RAUM per advisor
- $144MderivedRAUM 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
- $22.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $287M, 13 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$287M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $287M for 13 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M••••••• B••••• | Seattle, Wa | Mar 27, 2024 | 13 y | 0 |
| N•••• A••••• | Newport Beach, Ca | Jul 31, 2025 | 10 y | 0 |
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
Joined, latest
none on the tape
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P••••••• O••••••••• Z••• F••• V••• L• | Real Estate Fund | $67.1M | 99 | Oct 27, 2023 |
| R•••••• O• L•• | Real Estate Fund | $41.3M | 59 | Oct 27, 2023 |
| B••••••• B•••• O• L•• | Real Estate Fund | $22.4M | 40 | Oct 27, 2023 |
| I••• B••••• Q•• L•• | Real Estate Fund | $21.7M | 50 | Oct 27, 2023 |
| P••••••• B••••••• O• L•• | Real Estate Fund | $18.3M | 41 | Oct 27, 2023 |
| H•••••••• O• L•• | Real Estate Fund | $15.8M | 37 | Oct 27, 2023 |
| T••••• O• L•• | Real Estate Fund | $15.8M | 18 | Oct 27, 2023 |
| L• G••••• L•• | Real Estate Fund | $11.9M | 12 | Oct 27, 2023 |
| P••••••• B••••••• S•••••• H•••••• O• L•• | Real Estate Fund | $4.6M | 5 | Oct 27, 2023 |
| P••••••• P••••••• C••••• L••••• L•• | Real Estate Fund | $4.5M | 24 | Oct 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• L••• M••••••• · Co-Managercontrolsince 12/2018 · owns 50% to 75%
- F••••••••• J••••••• H•••• · Co-Manager, Chief Compliance Officercontrolsince 12/2018 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••• O• G•• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 21, 2026 to Sep 9, 2026
- Private funds · 13 to unsetAug 21, 2026 to Sep 9, 2026
- Succession · false to unsetAug 21, 2026 to Sep 9, 2026
- Assets in custody · $265M to $287MMar 29, 2025 to Aug 21, 2026
- Discretionary RAUM · $265M to $287MMar 29, 2025 to Aug 21, 2026
- Pooled vehicle RAUM · $265M to $287MMar 29, 2025 to Aug 21, 2026
- RAUM · $265M to $287MMar 29, 2025 to Aug 21, 2026
- Accounts · 10 to 13Jan 13, 2025 to Mar 29, 2025
- Pooled vehicle clients · 10 to 13Jan 13, 2025 to Mar 29, 2025
- Assets in custody · $220M to $265MJan 13, 2025 to Mar 29, 2025
- Financial planning clients · 0 to 0Jan 13, 2025 to Mar 29, 2025
- Private funds · 10 to 13Jan 13, 2025 to Mar 29, 2025
- Discretionary RAUM · $224M to $265MJan 13, 2025 to Mar 29, 2025
- Pooled vehicle RAUM · $224M to $265MJan 13, 2025 to Mar 29, 2025
- RAUM · $224M to $265MJan 13, 2025 to Mar 29, 2025
- Advisory employees · 2 to 3Nov 6, 2023 to Mar 13, 2024
- Employees · 2 to 6Nov 6, 2023 to Mar 13, 2024
- Discretionary RAUM · $220M to $224MNov 6, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $220M to $224MNov 6, 2023 to Mar 13, 2024
- RAUM · $220M to $224MNov 6, 2023 to Mar 13, 2024
Signals
1 dated events
- P••••••• P•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 27, 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
- Website
- pinnacleoz.com/en-usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206 369-2380reportedpublic record, Form ADV, Sep 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P••••••• P•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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