DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

P••••••• C••••••• L•

CRD 291980

NEW YORK, NY

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Search this name across graphsid dfx:ria:bffa7487-2513-1bb7-ce0f-fdd6ae609da1

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 2
Observed: Mar 30, 2023 to Mar 27, 2026
13 observations

Across DFX

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

Private Equityidentity

P••••••• C••••••• L•

Private equity manager · shared crd

Independent Sponsorsidentity

P••••••• C••••••• 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: $72.6M••• Locked
Discretionary RAUM: $72.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P••••••• S••• H••••••• L•	Private Equity Fund	$79.2M	Jul 31, 2024	20	Mar 1, 2022	reported	021-385446
P••••••• K•••• H•••••••• L•	Private Equity Fund	$63.5M	Jul 31, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••• F••••• T••••	Member	C	yes	07/2017	Jan 22, 2024	Jul 31, 2024
M••••• K••••• P•••••••	Trustee	F	yes	07/2017	Feb 1, 2024	Jul 31, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

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	$72.6M	$170M	-57.4%	$155M	-22.4%	4	4	0	0

Relationships

Advises (3)

→ P••••••• K•••• H•••••••• L•Private fundPrivate Equity Fund, IA
Aug 16, 2020 to presentfactForm ADV
→ P••••••• S••• H••••••• L•Private fundPrivate Equity Fund, IA
Mar 1, 2022 to presentfactForm ADV
→ P••• H••••••• L••Private fundOther Private Fund, IA
May 3, 2023 to presentfactForm ADV

Controls (6)

Dated events

Occurred
Jul 31, 2024
Control person left
Edward Todd Nice (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of P••••••• C••••••• L• (listed 2024-04-01, absent 2024-07-31)
Form ADVobserved 7 days ago
Occurred
Jul 31, 2024
Control person joined
James Adam Paley (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of P••••••• C••••••• L•
Form ADVobserved 7 days ago
Occurred
Feb 1, 2024
Control person joined
P••••••• K•••• M•••• (Trustee) appeared on Schedule A of P••••••• C••••••• L•
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bffa7487-2513-1bb7-ce0f-fdd6ae609da1
First observed: Mar 30, 2023
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.