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Former SEC-registered adviser

P••••••• • C••••••

Former SEC-registered adviserPortland, OregonCRD 35800SEC 801-IAPD
Legal name P••••••• A•• C•••••• A•••••••• L••
Latest filing Nov 5, 2013
First filing on the tape Nov 30, 2011 · 6 filings
RAUM
$754M
reported, Item 5.F
Discretionary
14%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$754M as of Sep 30, 2013
Oct 1, 2012$530M then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Sep 30, 2013
Oct 1, 20120 then
Employees (5.A): 22
Private funds: no history
RAUM +42% over the last fiscal yearIARs 0 to 19
Practice profile
derived from the filing of Nov 5, 2013; every figure names its basis
RAUM per advisor
$39.7MderivedRAUM 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
$378,620derivedRAUM over accounts (5.F.2.f)
Discretionary
14%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+42%derivedbetween 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, pension consulting, selection of other advisers, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,991reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••• J••••• T••••••• I•• · Chief Compliance Officercontrol
    since 01/2011 · owns less than 5%
  • P•••••••• T•••••• C•••••• · Ceocontrol
    since 02/1992 · owns 75% or more
  • S••••• J•••• T••• · Fin-Op, Cfo, Srop/Crop, Muni Principal, Option Principalcontrol
    since 03/1997 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,938 to 1,991
    Oct 1, 2012 to Sep 30, 2013
  • Advisory employees · unset to 16.0
    Oct 1, 2012 to Sep 30, 2013
  • Advisory activities · 5 to 6
    Oct 1, 2012 to Sep 30, 2013
  • BD registered reps · unset to 19.0
    Oct 1, 2012 to Sep 30, 2013
  • Employees · unset to 22.0
    Oct 1, 2012 to Sep 30, 2013
  • Financial planning clients · 0 to 251-500
    Oct 1, 2012 to Sep 30, 2013
  • State-registered IARs · 0 to 19
    Oct 1, 2012 to Sep 30, 2013
  • Discretionary RAUM · $26.8M to $104M
    Oct 1, 2012 to Sep 30, 2013
  • Non-discretionary RAUM · $504M to $649M
    Oct 1, 2012 to Sep 30, 2013
  • RAUM · $530M to $754M
    Oct 1, 2012 to Sep 30, 2013
  • Related adviser · false to true
    Oct 1, 2012 to Sep 30, 2013
  • Accounts · 1,718 to 1,938
    Aug 16, 2012 to Oct 1, 2012
  • Discretionary RAUM · $21.3M to $26.8M
    Aug 16, 2012 to Oct 1, 2012
  • Non-discretionary RAUM · $277M to $504M
    Aug 16, 2012 to Oct 1, 2012
  • RAUM · $298M to $530M
    Aug 16, 2012 to Oct 1, 2012
  • Accounts · 1,658 to 1,718
    May 4, 2012 to Aug 16, 2012
  • Non-discretionary RAUM · $197M to $277M
    May 4, 2012 to Aug 16, 2012
  • RAUM · $218M to $298M
    May 4, 2012 to Aug 16, 2012
  • Accounts · 682 to 1,658
    Nov 30, 2011 to May 4, 2012
  • Legal name · P••••••• • C•••••• SECURITIES INC. to P••••••• A•• C•••••• A•••••••• L••
    Nov 30, 2011 to May 4, 2012
  • Discretionary RAUM · $11.3M to $21.3M
    Nov 30, 2011 to May 4, 2012
  • Non-discretionary RAUM · $69.7M to $197M
    Nov 30, 2011 to May 4, 2012
  • RAUM · $81.0M to $218M
    Nov 30, 2011 to May 4, 2012
  • Succession · true to false
    Nov 30, 2011 to May 4, 2012
Signals
1 dated events
  • P••••••• • C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Nov 30, 2011 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026