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•••••••• O• S•• D••••

Former SEC-registered adviserLa Jolla, CaliforniaCRD 36644SEC 801-69346IAPD
Legal name P•••••• P••••••••• I•••
Latest filing Jun 6, 2012
First filing on the tape Jan 23, 2012 · 9 filings
RAUM
$68.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$7.6M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$68.2M as of Jun 6, 2012
Jan 23, 2012$68.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 6, 2012
Jan 23, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2012; every figure names its basis
RAUM per advisor
$7.6MderivedRAUM 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
$921,668derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
4.5derived2 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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
74reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• B••••La Jolla, Ca Mar 15, 200633 y0
E•••••• P• T••••La Jolla, Ca Mar 15, 200632 y0
P••• E•••••• M•••••Montgomery, Tx May 29, 200731 y0
H•••••• S••••• V•••••••••La Jolla, Ca Jul 28, 200939 y0
W•••••• C•••••• G••••••••La Jolla, Ca Jul 22, 202218 y0
R•••••• D• L• G•••• E••••••San Pedro Garza Garcia Nov 2, 202222 y0
G•••• C•••••• B••••La Jolla, Ca Nov 7, 202312 y0
R•••••• L•••••La Jolla, Ca Aug 14, 202430 y2
R•••• R•••••• M•••••Bonita, Ca Sep 6, 202419 y2
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 headcount3 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• D••••• · President, Sole Ownercontrol
    since 06/1994 · owns 75% or more
  • V••••••••• H•••••• S••••• · Vice Presidentcontrol
    since 06/1998 · owns less than 5%
  • T••••• E•••••• P• J• · Vice President, Chief Compliance Officer
    since 07/2002 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
La Jolla, Ca · principal900
San Antonio, Tx200
Chula Vista, Ca100
Naples, Fl000
Camas, Wa000
Offices
Schedule D 1.F, the 25 largest
  • Pittsburgh, PA
What changed
consecutive filings, newest first
  • Financial planning clients · 51-100 to 0
    Apr 3, 2012 to May 21, 2012
  • Business name · P•••••• P•••••••• O• S•• D••••• I••• to P•••••• P•••••••• O• S•• D••••
    Mar 23, 2012 to Mar 29, 2012
  • Legal name · P•••••• P•••••••• O• S•• D••••• I••• to P•••••• P••••••••• I•••
    Mar 15, 2012 to Mar 23, 2012
Signals
3 dated events
  • G••••• E•••••• G••••••• left P•••••• P•••••••• O• S•• D•••• for B••• G••••• W••••• A•••••••• I••• (registered 2025-08-27)
    Aug 18, 2025 · Advisor changed firm · fact
  • D•••• G•••••• M••••••• left P•••••• P•••••••• O• S•• D•••• for E•••••• P••••••• (registered 2025-03-06)
    Apr 3, 2025 · Advisor changed firm · fact
  • C••••••••• A•••••••• T•••••• left P•••••• P•••••••• O• S•• D•••• for F••••• I••••••••• (registered 2023-11-13)
    Nov 13, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Website
P••••••P••••••••.COMreportedpublic record, Form ADV, Sep 18, 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
$7.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026