DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

P••••••• L•••

P••••••• L•••, LLC, CRD 300972

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Search this name across graphsid dfx:ria:3b48fef2-04eb-f53c-03bd-08d82f698983

Data as of Mar 20, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 15
On other graphs: 0
Observed: Feb 14, 2022 to Mar 20, 2023
5 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $101M••• Locked
Discretionary RAUM: $101M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• L••• G••••• C••• E••••• M••••• F••• L•	Other Private Fund	$45.6M	Mar 20, 2023	7	Feb 14, 2022	reported	021-339443
P••••••• L••• A••••••• R••••• M••••• F••• L•	Hedge Fund	$42.3M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• L••	Shareholder	D	yes	06/2022	Jul 1, 2022	Mar 20, 2023
C••••• J•••••••• E•••••	PRESIDENT, CHIEF OPERATING OFFICER, AND MEMBER	Na	yes	08/2020	Feb 14, 2022	Mar 20, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••• A•••• M••••••••• L••	n/a	Former SEC adviser	$682,181	N	yes	n/a
E••• C••••••••• S••• H••••••• F••• G• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Feb 28, 2023	$101M	$101M	15	15	0	1	$45.6M

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$101M	n/a	n/a	n/a	n/a	15	n/a	0	n/a

Relationships

Affiliated with (2)

← E••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ E••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ P••••••• L••• G••••• C••• E••••• M••••• F••• L•Private fundOther Private Fund, IA
Feb 14, 2022 to presentfactForm ADV
→ P••••••• L••• A••••••• R••••• M••••• F••• L•

Dated events

Occurred
Feb 28, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 1, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 1, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 1, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b48fef2-04eb-f53c-03bd-08d82f698983
First observed: Feb 14, 2022
Last observed: Mar 20, 2023 42 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.