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••••••• W••••• A•••••••
Legal name P••••••• W••••• M••••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Feb 29, 2024 · 11 filings
SEC status approved since Feb 28, 2024
RAUM
$509M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
78%
$396M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$46.3M
derived; firm RAUM over IAPD count
Employees
17
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$509M as of Aug 27, 2026
Mar 28, 2025$329M then
HNW client RAUM$316M as of Aug 27, 2026
Mar 28, 2025$126M then
State-registered IARs (5.B.3)11 as of Aug 27, 2026
Mar 28, 20259 then
Employees (5.A)17 as of Aug 27, 2026
Mar 28, 202517 then
Private funds: no history
RAUM +55% over the last fiscal yearIARs 9 to 11offices 2 to 3
Practice profile
derived from the filing of Sep 15, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $46.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $655,973derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +83%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +27%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $93.6M, 9 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)
- 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$316M62%
- Corporations and businesses$95.5M19%
- Individuals$80.3M16%
- Pension and profit-sharing plans$15.3M3.0%
- Other investment advisers$2.2M0.4%
- Charitable organizations$211,7810.0%
- Individual clients
- 178reported
- HNW clients
- 78reported
- Pension plan clients
- 10reported
- Charitable clients
- 1reported
- Accounts
- 776reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $93.6M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• K•••• M••••••Certified Financial Planner | Holladay, Ut | Apr 8, 2024 | 22 y | 2 |
| D•••••• R•••••••Certified Financial Planner | Goleta, Ca | Apr 8, 2024 | 11 y | 2 |
| M••••• B•••• S••••••••Certified Financial Planner | Holladay, Ut | Apr 8, 2024 | 10 y | 1 |
| A•••• J• P•••Personal Financial Specialist | Goleta, Ca | Apr 9, 2024 | 27 y | 1 |
| K••• B•••• S••••••••Certified Financial Planner, Personal Financial Specialist | Holladay, Ut | Sep 12, 2024 | 41 y | 1 |
| J•••• S•••••••• A•••••• | Missouri City, Tx | Dec 12, 2024 | 30 y | 2 |
| A••••• V•••••• S•••••••• | Holladay, Ut | Dec 13, 2024 | 30 y | 2 |
| P•••• S•••• M••••• | Morganville, Nj | Jan 2, 2025 | 28 y | 2 |
| R••• M•••••• G••••••Certified Financial Planner | Goleta, Ca | Jun 23, 2025 | 12 y | 0 |
| L••••• A•••••••• G•••••• | Goleta, Ca | Apr 28, 2026 | 11 y | 1 |
| M•••••• T• R•••• | Holladay, Ut | May 27, 2026 | 13 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- L••••• A•••••••• G•••••• from P••••••••• S••••••••• C•••••••••Apr 28, 2026 · RIA to RIA
- P•••• S•••• M••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 2, 2025 · Affiliated broker-dealer or bank to independent RIA
- A••••• V•••••• S•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• S•••••••• A•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- K••• B•••• S•••••••• from W•••••• F•••••••• A•••••••• L••Sep 12, 2024 · RIA to RIA
- A•••• J• P••• from W•••••• F•••••••• A•••••••• L••Apr 9, 2024 · RIA to a newly registered adviser
- P••• K•••• M•••••• from W•••••• F•••••••• A•••••••• L••Apr 8, 2024 · RIA to a newly registered adviser
- M••••• B•••• S•••••••• from W•••••• F•••••••• A•••••••• L••Apr 8, 2024 · RIA to a newly registered adviser
- D•••••• R••••••• from W•••••• F•••••••• A•••••••• L••Apr 8, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Dec 4, 2024 · Mercerville, Nj
- 4 joined from W•••••• F•••••••• A•••••••• L••Apr 2, 2024 · Goleta, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• R••••• R• · Chief Executive Officercontrolsince 03/2024 · owns 5% to 10%
- S••••••••• K•••• B•••• · Membercontrolsince 12/2023 · owns 10% to 25%
- C••••••• T••••• E••••• · Chief Operative Officersince 03/2024 · owns less than 5%
- N•••••••• T••••••• N•• · Director Of Risk And Compliance, Chief Compliance Officersince 03/2024 · owns less than 5%
Entity owners
- P••• G••••• L•• · Memberdirect · owns 75% or more
- C••••••• P••••••• I••• L•• · Memberindirect · owns 25% to 50% of P••• G••••• L••
- S•••• C•••••• I• L•• · Memberindirect · owns 25% to 50% of P••• G••••• L••
Related persons
Schedule D 7.A
- P••• G••••• L••insurancey
- S•••••••• C••••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Holladay, Ut · principal | 11 | 2 | 0 | ||
| Goleta, Ca | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Goleta, CA6 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 11, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $328,607,632 to $600,542,307, advisors 9 to 10, private clients 201 to 256, offices 2 to 3 (2025-03-28 to 2026-03-11)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Mar 11, 2026HNW share of RAUM moved from 38.0% to 68.0% between the annual amendments of 2025-03-28 and 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Mar 11, 2026institutional share of RAUM moved from 39.0% to 19.0% between the annual amendments of 2025-03-28 and 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Mar 11, 2026private-client share of RAUM moved from 61.0% to 81.0% between the annual amendments of 2025-03-28 and 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 50 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $328,607,632 to $600,542,307 (+83.0%) between the annual amendments of 2025-03-28 and 2026-03-11; the peer median change was +16.0% (1385 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Aug 27, 2026 to Sep 15, 2026
- Succession · false to unsetAug 27, 2026 to Sep 15, 2026
- Advisory employees · 11 to 9May 22, 2026 to Jun 4, 2026
- Other offices · 2 to 3May 22, 2026 to Jun 4, 2026
- Accounts · 777 to 776Mar 11, 2026 to May 22, 2026
- Advisory employees · 10 to 11Mar 11, 2026 to May 22, 2026
- Pooled vehicle clients · unset to 0.0Mar 11, 2026 to May 22, 2026
- Employees · 16 to 17Mar 11, 2026 to May 22, 2026
- State-registered IARs · 10 to 11Mar 11, 2026 to May 22, 2026
- Other offices · 3 to 2Mar 11, 2026 to May 22, 2026
- Discretionary RAUM · $563M to $471MMar 11, 2026 to May 22, 2026
- HNW RAUM · $407M to $316MMar 11, 2026 to May 22, 2026
- Non-discretionary RAUM · $37.8M to $37.8MMar 11, 2026 to May 22, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 11, 2026 to May 22, 2026
- RAUM · $601M to $509MMar 11, 2026 to May 22, 2026
- Accounts · 557 to 777Jun 3, 2025 to Mar 11, 2026
- Advisory employees · 9 to 10Jun 3, 2025 to Mar 11, 2026
- HNW clients · 47 to 78Jun 3, 2025 to Mar 11, 2026
- Individual clients · 154 to 178Jun 3, 2025 to Mar 11, 2026
- Pension plan clients · 7 to 10Jun 3, 2025 to Mar 11, 2026
- Assets in custody · $162M to $93.6MJun 3, 2025 to Mar 11, 2026
- Employees · 17 to 16Jun 3, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 1-10Jun 3, 2025 to Mar 11, 2026
- State-registered IARs · 9 to 10Jun 3, 2025 to Mar 11, 2026
- Other offices · 2 to 3Jun 3, 2025 to Mar 11, 2026
- Discretionary RAUM · $329M to $563MJun 3, 2025 to Mar 11, 2026
- HNW RAUM · $126M to $407MJun 3, 2025 to Mar 11, 2026
- Individual RAUM · $73.6M to $80.3MJun 3, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $0 to $37.8MJun 3, 2025 to Mar 11, 2026
- Pension RAUM · $9.3M to $15.3MJun 3, 2025 to Mar 11, 2026
- RAUM · $329M to $601MJun 3, 2025 to Mar 11, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Jun 3, 2025
- Accounts · 555 to 557Dec 10, 2024 to Mar 28, 2025
- Advisory employees · 6 to 9Dec 10, 2024 to Mar 28, 2025
- Individual clients · 126 to 154Dec 10, 2024 to Mar 28, 2025
- Pension plan clients · 5 to 7Dec 10, 2024 to Mar 28, 2025
- Assets in custody · $201M to $162MDec 10, 2024 to Mar 28, 2025
- Employees · 7 to 17Dec 10, 2024 to Mar 28, 2025
- State-registered IARs · 6 to 9Dec 10, 2024 to Mar 28, 2025
- Other offices · 1 to 2Dec 10, 2024 to Mar 28, 2025
Signals
6 dated events
- P••••••• W••••• A••••••• reported RAUM $600.5M, up 83% from $328.6M (2025-06-03 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- 2 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (Mercerville, NJ) for P••••••• W••••• A••••••• within 8 daysDec 4, 2024 · Team lift-out · derived
- W•••••• F•••••••• A•••••••• L••'s advisors moved to P••••••• W••••• A••••••• (Goleta, CA): 4 of 5 registered, on the same dayApr 2, 2024 · Firm absorbed (people side) · derived
- R Reyes Florez (Chief Executive Officer) appeared on Schedule A of P••••••• W••••• A•••••••Mar 8, 2024 · Control person joined · fact
- P••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Feb 29, 2024 · First SEC registration · fact
- P••••••• W••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 29, 2024 · Succession (Item 4) · 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 phone
- 510-333-4598reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- platformadvise.com/pwa-teamreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (385) 243-0553reportedpublic record, Form ADV, Sep 15, 2026
- Contact form
- platformadvise.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $46.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026