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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

P••••••••• L••

CRD 284237

CHICAGO, IL

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Search this name across graphsid dfx:ria:5731252c-d713-86da-9185-21c3dccaa7c1

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 5
On other graphs: 2
Observed: Mar 20, 2017 to Mar 27, 2026
15 observations

Across DFX

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

Private Equityidentity

P••••••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

P••••••••• L••

Capital provider to sponsors · 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: $719M••• Locked
Discretionary RAUM: $719M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••••• C•••••• I•• L•	Private Equity Fund	$441M	Mar 27, 2024	70	Mar 22, 2019	reported	021-325392
P••••••••• C••••••• L•	Private Equity Fund	$106M	Mar 27, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• C••••• W••••	CHIEF FINANCIAL OFFICER, MANAGER AND PARTNER	B	yes	09/2015	Mar 20, 2017	Mar 27, 2024
G••••• E•••••• R•••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2021	Dec 8, 2021	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$719M	$727M	-1.0%	$631M	4.5%	14	15	0	0

Relationships

Advises (3)

→ P••••••••• C•••••• I••• L•Private fundPrivate Equity Fund, IA
Mar 27, 2024 to presentfactForm ADV
→ P••••••••• C••••••• L•Private fundPrivate Equity Fund, IA
Jun 27, 2016 to presentfactForm ADV
→ P••••••••• C•••••• I•• L•Private fundPrivate Equity Fund, IA
Mar 22, 2019 to presentfactForm ADV

Controls (4)

Dated events

Occurred
Mar 28, 2025
Regulatory AUM changed
P••••••••• L•• reported RAUM $726.5M, up 33% from $547.3M (2024-03-27 to 2025-03-28)
Form ADVobserved 7 days ago
$179M
Occurred
Mar 27, 2024
Control person left
Ladawn Kristina Heinze (Manager And Partner) no longer on Schedule A of P••••••••• L•• (listed 2023-03-27, absent 2024-03-27)
Form ADVobserved 7 days ago
Occurred
Dec 8, 2021
Control person joined
Ross Ernest Goffi (Chief Compliance Officer) appeared on Schedule A of P••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5731252c-d713-86da-9185-21c3dccaa7c1
First observed: Mar 20, 2017
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.