DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••••• W••••• M••••••••• S••
Latest filing Mar 5, 2026
First filing on the tape Dec 16, 2024 · 3 filings
SEC status approved since Feb 19, 2025
RAUM
$1.2B
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
87%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 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$1.2B as of Mar 5, 2026
Feb 19, 2025$950M then
HNW client RAUM$550M as of Mar 5, 2026
Feb 19, 2025$725M then
State-registered IARs (5.B.3)0 as of Mar 5, 2026
Feb 19, 20250 then
Employees (5.A)9 as of Mar 5, 2026
Feb 19, 20259 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 5, 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
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 21%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, performance-based, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$550M44%
- Individuals$527M42%
- Insurance companies$115M9.3%
- Corporations and businesses$50.0M4.0%
- Pension and profit-sharing plans$577,5650.0%
- Individual clients
- 58reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 230reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performance, commissionsreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• F•••• · Chieffinancial Officercontrolsince 04/2022 · owns less than 5%
- L•••••• M••••••• · Owner/Managing Partnercontrolsince 12/2017 · owns 10% to 25%
- B••••• C•••••• · Chief Investment Officersince 09/2023 · owns less than 5%
- C•••••••• M••••••• · Chief Compliance Officersince 05/2019 · owns less than 5%
- M•••••• N•••••• · Ownersince 12/2017 · owns 10% to 25%
- M•••••••• A•••• · Ownersince 12/2017 · owns 10% to 25%
Entity owners
- H•• M••••• · Ownerdirect · owns 50% to 75%
- H•• M••••• · Ownerindirect · owns 50% to 75% of H•• M•••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 5, 2026L•••••• M••••••• (OWNER/MANAGING PARTNER) left Schedule A between the filings of 2024-12-16 and 2026-03-05peers: independent wealth managers, $1B to $5B (1,362)
- HNW share shiftChange between filings · filing Mar 5, 2026HNW share of RAUM moved from 76.0% to 44.0% between the annual amendments of 2025-02-19 and 2026-03-05peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 167 to 230Feb 19, 2025 to Mar 5, 2026
- Corporate clients · 8 to 13Feb 19, 2025 to Mar 5, 2026
- HNW clients · 18 to 70Feb 19, 2025 to Mar 5, 2026
- Individual clients · 89 to 58Feb 19, 2025 to Mar 5, 2026
- Discretionary RAUM · $165M to $261MFeb 19, 2025 to Mar 5, 2026
- HNW RAUM · $725M to $550MFeb 19, 2025 to Mar 5, 2026
- Individual RAUM · $123M to $527MFeb 19, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $785M to $983MFeb 19, 2025 to Mar 5, 2026
- Pension RAUM · $719,219 to $577,565Feb 19, 2025 to Mar 5, 2026
- RAUM · $950M to $1.2BFeb 19, 2025 to Mar 5, 2026
- Related adviser · false to trueFeb 19, 2025 to Mar 5, 2026
- Accounts · 202 to 167Dec 16, 2024 to Feb 19, 2025
- Corporate clients · 12 to 8Dec 16, 2024 to Feb 19, 2025
- HNW clients · 14 to 18Dec 16, 2024 to Feb 19, 2025
- Individual clients · 102 to 89Dec 16, 2024 to Feb 19, 2025
- Pension plan clients · 1.0 to unsetDec 16, 2024 to Feb 19, 2025
- Financial planning clients · unset to Dec 16, 2024 to Feb 19, 2025
- HQ state · unset to Dec 16, 2024 to Feb 19, 2025
- Organization form · unset to Other (specify)Dec 16, 2024 to Feb 19, 2025
- Discretionary RAUM · $147M to $165MDec 16, 2024 to Feb 19, 2025
- HNW RAUM · $777M to $725MDec 16, 2024 to Feb 19, 2025
- Individual RAUM · $31.5M to $123MDec 16, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $785M to $785MDec 16, 2024 to Feb 19, 2025
- Pension RAUM · $1.6M to $719,219Dec 16, 2024 to Feb 19, 2025
- RAUM · $932M to $950MDec 16, 2024 to Feb 19, 2025
Signals
2 dated events
- P••••••••• W••••• M••••••••• S•• reported RAUM $1.2B, up 31% from $950.0M (2025-02-19 to 2026-03-05)Mar 5, 2026 · RAUM change · derived
- P••••••••• W••••• M••••••••• S•• filed its initial SEC registration (Form ADV)Dec 16, 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 email
- c••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 00377-99-99-75-75reportedpublic record, Form ADV, Mar 5, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026