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••••• M•••••••••
Legal name P•••••••• F••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 14, 2023 · 10 filings
SEC status approved since May 15, 2023
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$86.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
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
10 filings and snapshots on the tape
RAUM$160M as of Mar 31, 2026
Mar 18, 2024$110M then
HNW client RAUM$67.5M as of Mar 31, 2026
Mar 18, 2024$7.3M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 18, 20241 then
Employees (5.A)4 as of Mar 31, 2026
Mar 18, 20241 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $438,445derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$69.9M44%
- High-net-worth individuals$67.5M42%
- Individuals$19.1M12%
- Corporations and businesses$3.6M2.3%
- Individual clients
- 76reported
- HNW clients
- 52reported
- Pension plan clients
- 13reported
- Charitable clients
- 0reported
- Accounts
- 365reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.54 fund_share=0.0 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• E•••• P••••••••Certified Financial Planner | Raleigh, Nc | Jun 16, 2023 | 15 y | 1 |
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
- G••• E•••• P•••••••• from C•••••••• F•••••••• G•••• A•••••••Jun 16, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• G•••• E•••• · President, Ceo, Managing Member & Ccocontrolsince 02/2023 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 44% against a peer median of 0% (5678 comparable advisers, 98.0th percentile, 14.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 324 to 365Mar 31, 2025 to Mar 31, 2026
- HNW clients · 44 to 52Mar 31, 2025 to Mar 31, 2026
- Individual clients · 68 to 76Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 12 to 13Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $142M to $160MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $53.0M to $67.5MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $20.1M to $19.1MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $65.6M to $69.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $142M to $160MMar 31, 2025 to Mar 31, 2026
- Accounts · 284 to 324Mar 25, 2024 to Mar 31, 2025
- Advisory activities · 5 to 6Mar 25, 2024 to Mar 31, 2025
- HNW clients · 64 to 44Mar 25, 2024 to Mar 31, 2025
- Individual clients · 36 to 68Mar 25, 2024 to Mar 31, 2025
- Pension plan clients · 11 to 12Mar 25, 2024 to Mar 31, 2025
- Employees · 1 to 4Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 101-250Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $110M to $142MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $49.3M to $53.0MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $7.3M to $20.1MMar 25, 2024 to Mar 31, 2025
- Pension RAUM · $51.9M to $65.6MMar 25, 2024 to Mar 31, 2025
- RAUM · $110M to $142MMar 25, 2024 to Mar 31, 2025
- HNW clients · 36 to 64Mar 18, 2024 to Mar 25, 2024
- Individual clients · 64 to 36Mar 18, 2024 to Mar 25, 2024
- HNW RAUM · $7.3M to $49.3MMar 18, 2024 to Mar 25, 2024
- Individual RAUM · $49.3M to $7.3MMar 18, 2024 to Mar 25, 2024
- Accounts · 217 to 284Sep 1, 2023 to Mar 18, 2024
- Corporate clients · 1 to 2Sep 1, 2023 to Mar 18, 2024
- HNW clients · 52 to 36Sep 1, 2023 to Mar 18, 2024
- Individual clients · 44 to 64Sep 1, 2023 to Mar 18, 2024
- Discretionary RAUM · $103M to $110MSep 1, 2023 to Mar 18, 2024
- HNW RAUM · $42.7M to $7.3MSep 1, 2023 to Mar 18, 2024
- Individual RAUM · $10.1M to $49.3MSep 1, 2023 to Mar 18, 2024
- Pension RAUM · $48.3M to $51.9MSep 1, 2023 to Mar 18, 2024
- RAUM · $103M to $110MSep 1, 2023 to Mar 18, 2024
- Accounts · 0 to 217Jun 15, 2023 to Sep 1, 2023
- Charity clients · unset to 0.0Jun 15, 2023 to Sep 1, 2023
- Corporate clients · unset to 1.0Jun 15, 2023 to Sep 1, 2023
- HNW clients · unset to 52.0Jun 15, 2023 to Sep 1, 2023
- Individual clients · unset to 44.0Jun 15, 2023 to Sep 1, 2023
- Pension plan clients · unset to 11.0Jun 15, 2023 to Sep 1, 2023
Signals
1 dated events
- P•••••••• F•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 14, 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
- Business email
- t•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- g••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- b•••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- d••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-781-4167reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-781-4240reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 919-781-3589reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pendleton-financialreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 919-781-4167reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026