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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SEC-registered adviser
P••• F••••••••
Legal name P••• L••• • W••••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since Mar 8, 2018
RAUM
$195M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$171M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$32.6M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$195M as of Mar 20, 2026
Mar 30, 2012$81.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 20, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 20, 2026
Mar 7, 20195 then
Private funds: no history
RAUM +8.1% over the last fiscal year+5.1% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $32.6MderivedRAUM 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
- $239,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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 an insurance broker or agent (6.A.6)
- 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
- Individuals$171M88%
- Pension and profit-sharing plans$19.6M10%
- Charitable organizations$4.2M2.2%
- Corporations and businesses$534,9450.3%
- Individual clients
- 788reported
- HNW clients
- n/areported
- Pension plan clients
- 16reported
- Charitable clients
- 9reported
- Accounts
- 817reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• L••• R•••••••Certified Financial Planner | Fresno, Ca | Jul 2, 2012 | 26 y | 3 |
| J••• R••••• H••••• | Fresno, Ca | Dec 10, 2019 | 12 y | 0 |
| I•••• E•••••••• H•••• | Fresno, Ca | Jan 1, 2025 | 14 y | 1 |
| J••• R••••• H••••• | Fresno, Ca | Jan 1, 2025 | 41 y | 1 |
| J••• D•••• W••••Certified Financial Planner | Fresno, Ca | Jan 1, 2025 | 45 y | 1 |
| J•• M•••••• C•••Chartered Financial Consultant | Fresno, Ca | Sep 18, 2025 | 23 y | 3 |
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
- R••••• L••• R••••••• to B•••••••• A••••••• G••••• L••Oct 2, 2003 · Other
Joined, latest
- J•• M•••••• C••• from B•••••••• W••••• A•••••••• L••Sep 18, 2025 · Other
- I•••• E•••••••• H•••• from A••••••••• F•••••••• S•••••••• L••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••••• L••• R••••••• from B•••••••• A••••••• G••••• L••Jun 4, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• R••••• · President/Chief Compliance Officer/Cfo/Directorcontrolsince 06/1993 · owns 75% or more
- H••••• I••••• E•••••••• · Vice-President, Sales/Directorsince 01/2021 · owns 10% to 25%
- H•••••• J•••• R••••• · Secretarysince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- J••• D• W••••insuranceinvestment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fresno, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 744 to 817Mar 21, 2025 to Mar 20, 2026
- Charity clients · 8 to 9Mar 21, 2025 to Mar 20, 2026
- Corporate clients · 5 to 4Mar 21, 2025 to Mar 20, 2026
- Individual clients · 715 to 788Mar 21, 2025 to Mar 20, 2026
- Discretionary RAUM · $180M to $195MMar 21, 2025 to Mar 20, 2026
- Individual RAUM · $158M to $171MMar 21, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $525,000 to $636,975Mar 21, 2025 to Mar 20, 2026
- Pension RAUM · $17.3M to $19.6MMar 21, 2025 to Mar 20, 2026
- RAUM · $181M to $195MMar 21, 2025 to Mar 20, 2026
- Accounts · 768 to 744Mar 28, 2024 to Mar 21, 2025
- Charity clients · 9 to 8Mar 28, 2024 to Mar 21, 2025
- Individual clients · 738 to 715Mar 28, 2024 to Mar 21, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $170M to $180MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $137M to $158MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $460,000 to $525,000Mar 28, 2024 to Mar 21, 2025
- Pension RAUM · $26.1M to $17.3MMar 28, 2024 to Mar 21, 2025
- RAUM · $170M to $181MMar 28, 2024 to Mar 21, 2025
- Accounts · 791 to 768Mar 9, 2023 to Mar 28, 2024
- Charity clients · 6 to 9Mar 9, 2023 to Mar 28, 2024
- Individual clients · 765 to 738Mar 9, 2023 to Mar 28, 2024
- Pension plan clients · 15 to 16Mar 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $168M to $170MMar 9, 2023 to Mar 28, 2024
- Individual RAUM · $144M to $137MMar 9, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $400,000 to $460,000Mar 9, 2023 to Mar 28, 2024
- Pension RAUM · $18.2M to $26.1MMar 9, 2023 to Mar 28, 2024
- RAUM · $168M to $170MMar 9, 2023 to Mar 28, 2024
- Accounts · 754 to 791Mar 16, 2022 to Mar 9, 2023
- Advisory activities · 6 to 5Mar 16, 2022 to Mar 9, 2023
- Charity clients · 12 to 6Mar 16, 2022 to Mar 9, 2023
- Individual clients · 719 to 765Mar 16, 2022 to Mar 9, 2023
- Pension plan clients · 18 to 15Mar 16, 2022 to Mar 9, 2023
- Discretionary RAUM · $182M to $168MMar 16, 2022 to Mar 9, 2023
- Individual RAUM · $156M to $144MMar 16, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $3.8M to $400,000Mar 16, 2022 to Mar 9, 2023
- Pension RAUM · $22.4M to $18.2MMar 16, 2022 to Mar 9, 2023
- RAUM · $186M to $168MMar 16, 2022 to Mar 9, 2023
- Accounts · 731 to 754Mar 15, 2021 to Mar 16, 2022
- Charity clients · 22 to 12Mar 15, 2021 to Mar 16, 2022
- Corporate clients · 3 to 5Mar 15, 2021 to Mar 16, 2022
Signals
1 dated events
- P••• F•••••••• filed its initial SEC registration (Form ADV)Feb 7, 2018 · 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
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 559-433-1110reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 559-433-1110reportedpublic record, Form ADV, Mar 20, 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
- $32.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026