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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Former SEC-registered adviser

P••••• P•••••• W••••• L••

Former SEC-registered adviserCRD 340734SEC 801-135613websiteIAPD
Latest filing Jul 30, 2026
First filing on the tape Mar 20, 2026 · 5 filings
SEC status 120-day approval since Mar 20, 2026
RAUM
$2.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$2.8M
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
5 filings and snapshots on the tape
RAUM$2.8M as of Jul 30, 2026
Mar 20, 2026$0 then
HNW client RAUM$2.8M as of Jul 30, 2026
May 11, 2026$2.8M then
State-registered IARs (5.B.3)1 as of Jul 30, 2026
Mar 20, 20261 then
Employees (5.A)1 as of Jul 30, 2026
Mar 20, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
RAUM per advisor
$2.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$931,694derivedHNW RAUM over HNW clients
Average account
$931,694derivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$320,968, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$2.8M100%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$320,968 for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••••• J•••Manhattan Beach, CaMar 20, 202616 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
      No Schedule A on the extract for this adviser.
      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
      • Accounts · 0 to 3
        Apr 8, 2026 to May 11, 2026
      • HNW clients · unset to 3.0
        Apr 8, 2026 to May 11, 2026
      • Assets in custody · unset to 320968.0
        Apr 8, 2026 to May 11, 2026
      • Custody of client assets · false to true
        Apr 8, 2026 to May 11, 2026
      • Discretionary RAUM · $0 to $2.8M
        Apr 8, 2026 to May 11, 2026
      • HNW RAUM · unset to 2795081.0
        Apr 8, 2026 to May 11, 2026
      • RAUM · $0 to $2.8M
        Apr 8, 2026 to May 11, 2026
      Signals
      1 dated events
      • P••••• P•••••• W••••• L•• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $2.8M)
        Sep 1, 2026 · Left the SEC roster · derived
      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 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $2.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026