DFX Intelligence

P••• A••• I•••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

P••• A••• I•••••••• L•

CRD 109171

P••• A•••, CA

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Search this name across graphsid dfx:ria:0362e9a1-107e-9b0f-8284-247de036f41c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 3
On other graphs: 1
Observed: Mar 30, 2012 to Mar 27, 2026
28 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

P••• A••• I•••••••• L•

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $696M••• Locked
Discretionary RAUM: $696M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $696Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• Y•••••••• L••	n/a	P••• A•••, CA	4	19	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••• A••• H••••••••• M••••• F••• I•• L•••	Hedge Fund	$532M	Mar 28, 2024	120	Mar 30, 2012	reported	021-91122
P••• A••• H••••••••• M••••• F•••• L•••	Hedge Fund	$279M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• P••••••• Y••••••••	Manager	F	yes	03/2018	Mar 30, 2012	Mar 28, 2024
N••••••••• A•••••• E••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2016	Apr 19, 2016	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$696M	$667M	4.3%	$1.3B	-18.3%	10	12	2	2

Relationships

Advises (16)

→ P••• A••• H••••••••• M••••• F••• I•• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ P••• A••• H••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ P••• A••• P• F•••• L•••Private fundHedge Fund, IA
May 15, 2015 to presentfactForm ADV
→ P••• A••• K•••• F•••• L•••

Dated events

Occurred
Mar 31, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-390M
Occurred
Mar 31, 2018
Succession filed (Item 4)
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$531M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0362e9a1-107e-9b0f-8284-247de036f41c
First observed: Mar 30, 2012
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.