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.
SEC-registered adviser
Pacific Wealth Advisory Services LLC
Latest filing Feb 19, 2026
First filing on the tape Apr 22, 2024 · 15 filings
SEC status approved since May 21, 2024
RAUM
$96.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$96.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$96.3M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$96.3M as of Feb 19, 2026
Jan 9, 2025$102M then
HNW client RAUM$47.3M as of Feb 19, 2026
Jan 9, 2025$55.5M then
State-registered IARs (5.B.3)1 as of Feb 19, 2026
Jan 9, 20251 then
Employees (5.A)2 as of Feb 19, 2026
Jan 9, 20252 then
Private funds: no history
RAUM -2.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $96.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $180,986derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $35.1M, 177 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)
- 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
- Individuals$49.0M51%
- High-net-worth individuals$47.3M49%
- Individual clients
- 198reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 532reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $35.1M for 177 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Michael Jerome Lickiss | Danville, Ca | Jul 2, 2024 | 20 y | 2 |
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
- Michael Jerome Lickiss from Arkadios Wealth AdvisorsJul 2, 2024 · 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
- Lisa Katherine Kumro · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- Jerome Michael Lickiss · Ownercontrolsince 04/2024 · 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
- custody status changedChange between filings · filing Feb 19, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-30, yes on the filing of 2026-02-19peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 508 to 532Apr 30, 2025 to Feb 19, 2026
- HNW clients · 22 to 25Apr 30, 2025 to Feb 19, 2026
- Individual clients · 205 to 198Apr 30, 2025 to Feb 19, 2026
- Assets in custody · unset to 35149975.0Apr 30, 2025 to Feb 19, 2026
- Custody of client assets · false to trueApr 30, 2025 to Feb 19, 2026
- Discretionary RAUM · $98.7M to $96.3MApr 30, 2025 to Feb 19, 2026
- HNW RAUM · $41.9M to $47.3MApr 30, 2025 to Feb 19, 2026
- Individual RAUM · $56.8M to $49.0MApr 30, 2025 to Feb 19, 2026
- RAUM · $98.7M to $96.3MApr 30, 2025 to Feb 19, 2026
- Financial planning clients · unset to Mar 5, 2025 to Apr 30, 2025
- Accounts · 468 to 508Jan 9, 2025 to Mar 5, 2025
- BD registered reps · 1 to 0Jan 9, 2025 to Mar 5, 2025
- HNW clients · 32 to 22Jan 9, 2025 to Mar 5, 2025
- Individual clients · 176 to 205Jan 9, 2025 to Mar 5, 2025
- Discretionary RAUM · $102M to $98.7MJan 9, 2025 to Mar 5, 2025
- HNW RAUM · $55.5M to $41.9MJan 9, 2025 to Mar 5, 2025
- Individual RAUM · $46.4M to $56.8MJan 9, 2025 to Mar 5, 2025
- RAUM · $102M to $98.7MJan 9, 2025 to Mar 5, 2025
- Accounts · 0 to 468Aug 6, 2024 to Sep 10, 2024
- Charity clients · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- Corporate clients · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- HNW clients · unset to 32.0Aug 6, 2024 to Sep 10, 2024
- Individual clients · unset to 176.0Aug 6, 2024 to Sep 10, 2024
- Pension plan clients · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- Pooled vehicle clients · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- Discretionary RAUM · $0 to $102MAug 6, 2024 to Sep 10, 2024
- HNW RAUM · unset to 55495110.0Aug 6, 2024 to Sep 10, 2024
- Individual RAUM · unset to 46391746.0Aug 6, 2024 to Sep 10, 2024
- Pension RAUM · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- Pooled vehicle RAUM · unset to 0.0Aug 6, 2024 to Sep 10, 2024
- RAUM · $0 to $102MAug 6, 2024 to Sep 10, 2024
- Business name · PACIFIC FINANCIAL ADVISORY SERVICES to PACIFIC WEALTH ADVISORY SERVICES LLCJul 2, 2024 to Jul 9, 2024
- Legal name · PACIFIC FINANCIAL ADVISORY SERVICES to PACIFIC WEALTH ADVISORY SERVICES LLCApr 22, 2024 to Apr 23, 2024
Signals
1 dated events
- Pacific Financial Advisory Services filed its initial SEC registration (Form ADV)Apr 22, 2024 · 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 phone
- 925-838-7566reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- pacificwealthadvisory.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925-838-7566reportedpublic record, Form ADV, Feb 19, 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
- $96.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026