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P•••• S•••••• A••••••• 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•••• S•••••• A••••••• L••

CRD 134172

NEW YORK, NY

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Search this name across graphsid dfx:ria:e3b192d6-c3c9-9559-6a05-c8d8d32786be

Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2020
11 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: $382MItem 5.F on the latest filing (2020-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $382M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
M••••• F•••••• X••• L•••	Other Private Fund	$363M	Mar 25, 2015	32	Mar 29, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• M••• F••••••	MANAGING DIRECTOR AND TREASURER	Na	yes	06/2005	Mar 29, 2012	Mar 30, 2020
D••••• J•••••••• J••	SENIOR MANAGING PRINCIPAL	Na	yes	06/2005	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••• S•••••• • C••	n/a	Institutional manager	$1.3B	N	yes	n/a
P•• C•••••• P••••••• L••	n/a	Asset manager	$241M	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$382M	$450M	-15.1%	$418M	-2.9%	10	10	0	0

Relationships

Affiliated with (4)

← P•••• J•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P•••• J•••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PSC CAPITAL PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ P•••• S•••••• • C••Registered adviser

Dated events

Occurred
Mar 30, 2020
Control person left
Joseph James Dunne (Chief Executive Officer) no longer on Schedule A of P•••• S•••••• A••••••• L•• (listed 2020-01-30, absent 2020-03-30)
Form ADVobserved 7 days ago
Occurred
Jan 30, 2020
Succession filed (Item 4)
Sandler O'Neill Advisors, L.P. reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e3b192d6-c3c9-9559-6a05-c8d8d32786be
First observed: Mar 29, 2012
Last observed: Mar 30, 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.