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SEC-registered adviser

P•• R••••••• L••

Other adviserCRD 333271SEC 801-131402IAPD
Latest filing Jul 1, 2026
First filing on the tape Oct 2, 2024 · 7 filings
SEC status approved since Nov 4, 2024
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$179M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$179M as of Jul 1, 2026
Jan 10, 2025$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jul 1, 2026
Jan 10, 20251 then
Employees (5.A)1 as of Jul 1, 2026
Jan 10, 20251 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 1, 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
$179MderivedRAUM 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
$179MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • Corporations and businesses$179M100%
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 AUM, performancereported
Class basis
private_client_share=0.0 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
NameBranchHere sinceIn industryPrior firms
S••••••• P•••••Chartered Financial AnalystLas Vegas, NvNov 4, 202410 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• S••••••• · Founder, Managing Member And Chief Compliance Officercontrol
        since 09/2024 · 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.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $110M to $179M
        May 20, 2025 to Feb 27, 2026
      • RAUM · $110M to $179M
        May 20, 2025 to Feb 27, 2026
      • Financial planning clients · 0 to 0
        Jan 10, 2025 to May 20, 2025
      • Accounts · 0 to 1
        Nov 19, 2024 to Jan 10, 2025
      • Financial planning clients · unset to 0
        Nov 19, 2024 to Jan 10, 2025
      • HQ city · unset to
        Nov 19, 2024 to Jan 10, 2025
      • HQ state · unset to
        Nov 19, 2024 to Jan 10, 2025
      • Discretionary RAUM · $0 to $110M
        Nov 19, 2024 to Jan 10, 2025
      • RAUM · $0 to $110M
        Nov 19, 2024 to Jan 10, 2025
      Signals
      1 dated events
      • P•• R••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 2, 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
      Principal office phone
      617-483-5981reportedpublic record, Form ADV, Jul 1, 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
      Other adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $179Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026