DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

P•••••• • C••••••

CRD 127831

NEW YORK, NY

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Search this name across graphsid dfx:ria:ad0d9f8d-1594-a6a4-2381-b5119c339ec2

Data as of Apr 6, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 30
Dated events: 1
On other graphs: 3
Observed: Mar 30, 2012 to Apr 6, 2020
25 observations

Across DFX

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

Private Equityidentity

P•••••• • C••••••

Private equity manager · shared crd

Venture Capitalidentity

P•••••• I••••••••• C••••••• L••

Venture manager · shared crd

Private Creditidentity

P•••••• • C••••••

Private credit manager · shared crd

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: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•••••• P••••••• L•	Hedge Fund	$2.6B	Apr 6, 2020	1	Mar 30, 2012	reported	021-175224
P•••••• A•••••••• P••• M••••• L••	Hedge Fund	$2.2B	Apr 6, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••••• J•••• A•••••	PRESIDENT, DIRECTOR, P•••••••• MANAGER	E	yes	01/1995	Mar 30, 2012	Apr 6, 2020
B••••• C••••••••• A•••	CHIEF FINANCIAL OFFICER	Na	no	09/2001	Mar 30, 2012	Apr 6, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• M••••••••• L•	n/a	Former SEC adviser	$951M	N	yes	n/a
P••• S••••••••• 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
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$11B	$8.6B	24.7%	$12B	-4.9%	51	64	0	0

Relationships

Affiliated with (2)

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

Advises (23)

→ P•••••• P••• S••••• E••••••• F••• L•Private fundHedge Fund, IA
Nov 15, 2019 to presentfactForm ADV
→ P•••••• A•••••••• M••••• L••

Dated events

Occurred
Mar 30, 2018
Regulatory AUM changed
P•••••• • C•••••• reported RAUM $8.7B, down 30% from $12.4B (2017-04-21 to 2018-03-30)
Form ADVobserved 7 days ago
$-3.7B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad0d9f8d-1594-a6a4-2381-b5119c339ec2
First observed: Mar 30, 2012
Last observed: Apr 6, 2020 78 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.