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•••••• F••••• W••••• A•••••••
Legal name P•• A•••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Apr 14, 2023 · 12 filings
SEC status approved since May 15, 2023
RAUM
$393M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$387M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$393M as of Jan 20, 2026
Mar 15, 2024$367M then
HNW client RAUM$363M as of Jan 20, 2026
Mar 15, 2024$342M then
State-registered IARs (5.B.3)1 as of Jan 20, 2026
Mar 15, 20241 then
Employees (5.A)4 as of Jan 20, 2026
Mar 15, 20242 then
Private funds: no history
RAUM +0.2% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $2.7M, 1 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M92%
- Individuals$24.1M6.1%
- Charitable organizations$3.3M0.8%
- Corporations and businesses$3.1M0.8%
- Individual clients
- 64reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 371reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| S•••• R••••• M••••••••Certified Financial Planner | Atlanta, Ga | Sep 7, 2023 | 34 y | 2 |
| T••••• E•••••• H•••••••• H••••Chartered Financial Analyst | Atlanta, Ga | Mar 19, 2024 | 13 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
- S•••• R••••• M•••••••• from W•••• F•••• A•••••••Sep 7, 2023 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• S••••• R••••• · Managing Member And Chief Compliance Officercontrolsince 10/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 378 to 371Aug 8, 2025 to Jan 20, 2026
- Advisory employees · 2 to 1Aug 8, 2025 to Jan 20, 2026
- HNW clients · 78 to 74Aug 8, 2025 to Jan 20, 2026
- Assets in custody · $47.5M to $2.7MAug 8, 2025 to Jan 20, 2026
- State-registered IARs · 2 to 1Aug 8, 2025 to Jan 20, 2026
- Discretionary RAUM · $385M to $392MAug 8, 2025 to Jan 20, 2026
- HNW RAUM · $357M to $363MAug 8, 2025 to Jan 20, 2026
- Individual RAUM · $22.8M to $24.1MAug 8, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $830,742 to $955,868Aug 8, 2025 to Jan 20, 2026
- RAUM · $386M to $393MAug 8, 2025 to Jan 20, 2026
- Accounts · 375 to 378Feb 20, 2025 to Jun 13, 2025
- Financial planning clients · 1-10 to 1-10Feb 20, 2025 to Jun 13, 2025
- Discretionary RAUM · $391M to $385MFeb 20, 2025 to Jun 13, 2025
- HNW RAUM · $361M to $357MFeb 20, 2025 to Jun 13, 2025
- Individual RAUM · $23.0M to $22.8MFeb 20, 2025 to Jun 13, 2025
- Non-discretionary RAUM · $986,926 to $830,742Feb 20, 2025 to Jun 13, 2025
- RAUM · $392M to $386MFeb 20, 2025 to Jun 13, 2025
- Accounts · 385 to 375Apr 12, 2024 to Feb 20, 2025
- Advisory employees · 1 to 2Apr 12, 2024 to Feb 20, 2025
- HNW clients · 82 to 78Apr 12, 2024 to Feb 20, 2025
- Individual clients · 61 to 64Apr 12, 2024 to Feb 20, 2025
- Assets in custody · $33.3M to $47.5MApr 12, 2024 to Feb 20, 2025
- Employees · 2 to 4Apr 12, 2024 to Feb 20, 2025
- State-registered IARs · 1 to 2Apr 12, 2024 to Feb 20, 2025
- Discretionary RAUM · $367M to $391MApr 12, 2024 to Feb 20, 2025
- HNW RAUM · $342M to $361MApr 12, 2024 to Feb 20, 2025
- Individual RAUM · $20.2M to $23.0MApr 12, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $185,745 to $986,926Apr 12, 2024 to Feb 20, 2025
- RAUM · $367M to $392MApr 12, 2024 to Feb 20, 2025
- Accounts · 351 to 385Nov 14, 2023 to Mar 15, 2024
- HNW clients · 75 to 82Nov 14, 2023 to Mar 15, 2024
- Individual clients · 56 to 61Nov 14, 2023 to Mar 15, 2024
- Assets in custody · $59.5M to $33.3MNov 14, 2023 to Mar 15, 2024
- Financial planning clients · 0 to 1-10Nov 14, 2023 to Mar 15, 2024
- Discretionary RAUM · $332M to $367MNov 14, 2023 to Mar 15, 2024
- HNW RAUM · $312M to $342MNov 14, 2023 to Mar 15, 2024
- Individual RAUM · $17.1M to $20.2MNov 14, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $185,745Nov 14, 2023 to Mar 15, 2024
- RAUM · $332M to $367MNov 14, 2023 to Mar 15, 2024
- Assets in custody · unset to 59477377.0Aug 11, 2023 to Nov 14, 2023
Signals
1 dated events
- P•• A••••••• filed its initial SEC registration (Form ADV)Apr 14, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• F••••• W••••• A••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 404-848-0950reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 404-848-0951reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pfwadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 404-848-0950reportedpublic record, Form ADV, Jan 20, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026