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••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2025 · 3 filings
SEC status approved since Mar 31, 2025
RAUM
$4.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$1.5M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$4.6M as of Mar 31, 2026
Mar 31, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 31, 20252 then
Employees (5.A)4 as of Mar 31, 2026
Mar 31, 20252 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $1.5MderivedRAUM 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
- $4.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$4.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••••• W••• | Isle Of Palms, Sc | Apr 1, 2026 | 12 y | 4 |
| M•••••• S•••• L•••••••• | Bay Harbor Islands, Fl | May 21, 2026 | 21 y | 4 |
| P•••• A•••••• M••••••••• | Bridge Hampton, Ny | May 24, 2026 | 31 y | 4 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- P•••• A•••••• M••••••••• from M••••• C•••••• M••••••••• C••May 24, 2026 · Other
- M•••••• S•••• L•••••••• from M••••• C•••••• M••••••••• C••May 21, 2026 · Other
- K•••••• W••• from M••••• C•••••• M••••••••• C••Apr 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• M••••••• L••••• · Ceo And Presidentcontrolsince 02/2025 · owns less than 5%
- W•••• K•••••• · Cio, Coo And Ccocontrolsince 02/2025 · owns less than 5%
Entity owners
- P••••••• A•••• M••••••••• L•• · Parent / Holding Companydirect · 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 |
|---|---|---|---|---|---|
| Isle Of Palms, Sc · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 1Aug 4, 2025 to Mar 31, 2026
- Employees · 2 to 4Aug 4, 2025 to Mar 31, 2026
- Financial planning clients · to 0Aug 4, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Aug 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $0 to $4.6MAug 4, 2025 to Mar 31, 2026
- RAUM · $0 to $4.6MAug 4, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMar 31, 2025 to Aug 4, 2025
Signals
No event on the tape.
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
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (512) 660-8038reportedpublic record, Form ADV, Mar 31, 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
- $1.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026