DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
P•••••• C•••••• M••••••••• L•
Latest filing Sep 24, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$95.0M gross assets
History
6 filings and snapshots on the tape
RAUM$1.2B as of Jun 17, 2013
Jun 29, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Jun 17, 2013
Jun 29, 20120 then
Employees (5.A): 25
Private funds2 as of Jun 17, 2013
Jun 29, 20124 then
RAUM -25% over the last fiscal yearIARs 0 to 8
Practice profile
derived from the filing of Sep 24, 2013; every figure names its basis
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $95.0M, 2 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 306reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.0M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- E•••••• T••••• S•••• to S••••••• E••••• M••••••••• L••Sep 3, 2013 · Other
- B•••• P• O•••••••• to M•••••• W••••• M••••••••• G••••Aug 4, 2008 · Other
- J•••••• M• Y•• to W••••• S••••••••Apr 8, 2008 · Other
- J••• C•••••• S•••• to C•••••• A••••••• L••Nov 15, 2006 · Other
Joined, latest
- J••• C•••••• S•••• from S•••••••• A••••••• L••Feb 21, 2003 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• C•••••• M••••••••• T•• D••••••• B••••••• F•••• L•••no longer reported | Hedge Fund | $5.0M | 6 | Mar 30, 2012 |
| P•••••• C•••••• M••••••••• T•• M•••••• B••••••• F•••• L•••no longer reported | Hedge Fund | $2.0M | 5 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••• D•••••• · President, Coo, Chief Compliance Officer, And General Counselcontrolsince 05/2004 · owns less than 5%
- J••••• D••••• G••••• · Chief Financial Officercontrolsince 04/2010 · owns less than 5%
- P•••••• G••••• J••••• · Chief Executive Officercontrolsince 12/2008 · owns less than 5%
Entity owners
- P•• H••••••• I• I•• · Sole General Partnerdirect · owns less than 5%
- P•• H••••••• I•• L•• · Sole L•••••• Partnerdirect · owns 75% or more
- L••• M••••• I••• · Sole Shareholder / Sole Memberindirect · owns 75% or more of Pcm Holdings, Inc. / P•• H••••••• I•• L•• · public reporting company
Related persons
Schedule D 7.A
- C••••• C•••••• C•••••••••broker-dealery
- L••• M•••• I••••••••• ••••••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · P•••••• C•••••• M••••••••• L•• to P•••••• C•••••• M••••••••• L•Sep 16, 2013 to Sep 24, 2013
- Legal name · P•••••• C•••••• M••••••••• L•• to P•••••• C•••••• M••••••••• L•Sep 16, 2013 to Sep 24, 2013
- Succession · true to falseSep 16, 2013 to Sep 24, 2013
- Accounts · 299 to 306Sep 11, 2013 to Sep 16, 2013
- Advisory employees · 5 to 4Sep 11, 2013 to Sep 16, 2013
- BD registered reps · 10 to 14Sep 11, 2013 to Sep 16, 2013
- Business name · P•••••• C•••••• M••••••••• L• to P•••••• C•••••• M••••••••• L••Sep 11, 2013 to Sep 16, 2013
- Assets in custody · $99.0M to $95.0MSep 11, 2013 to Sep 16, 2013
- Employees · 20 to 25Sep 11, 2013 to Sep 16, 2013
- State-registered IARs · 6 to 8Sep 11, 2013 to Sep 16, 2013
- Legal name · P•••••• C•••••• M••••••••• L• to P•••••• C•••••• M••••••••• L••Sep 11, 2013 to Sep 16, 2013
- Organization form · Limited Liability Company to PartnershipSep 11, 2013 to Sep 16, 2013
- Discretionary RAUM · $1.2B to $1.2BSep 11, 2013 to Sep 16, 2013
- RAUM · $1.2B to $1.2BSep 11, 2013 to Sep 16, 2013
- Related adviser · false to trueSep 11, 2013 to Sep 16, 2013
- Accounts · 306 to 299Jun 17, 2013 to Sep 11, 2013
- Advisory employees · 4 to 5Jun 17, 2013 to Sep 11, 2013
- BD registered reps · 14 to 10Jun 17, 2013 to Sep 11, 2013
- Assets in custody · $95.0M to $99.0MJun 17, 2013 to Sep 11, 2013
- Employees · 25 to 20Jun 17, 2013 to Sep 11, 2013
- State-registered IARs · 8 to 6Jun 17, 2013 to Sep 11, 2013
- Organization form · Partnership to Limited Liability CompanyJun 17, 2013 to Sep 11, 2013
- Discretionary RAUM · $1.2B to $1.2BJun 17, 2013 to Sep 11, 2013
- RAUM · $1.2B to $1.2BJun 17, 2013 to Sep 11, 2013
- Related adviser · true to falseJun 17, 2013 to Sep 11, 2013
- Succession · false to trueJun 17, 2013 to Sep 11, 2013
- Accounts · 429 to 306Jun 29, 2012 to Jun 17, 2013
- Advisory employees · unset to 4.0Jun 29, 2012 to Jun 17, 2013
- BD registered reps · unset to 14.0Jun 29, 2012 to Jun 17, 2013
- Assets in custody · $103M to $95.0MJun 29, 2012 to Jun 17, 2013
- Employees · unset to 25.0Jun 29, 2012 to Jun 17, 2013
- State-registered IARs · 0 to 8Jun 29, 2012 to Jun 17, 2013
- Private funds · 4 to 2Jun 29, 2012 to Jun 17, 2013
- Discretionary RAUM · $1.6B to $1.2BJun 29, 2012 to Jun 17, 2013
- RAUM · $1.6B to $1.2BJun 29, 2012 to Jun 17, 2013
- Accounts · 454 to 429Mar 30, 2012 to Jun 29, 2012
- Assets in custody · $92.0M to $103MMar 30, 2012 to Jun 29, 2012
- Discretionary RAUM · $1.5B to $1.6BMar 30, 2012 to Jun 29, 2012
- RAUM · $1.5B to $1.6BMar 30, 2012 to Jun 29, 2012
Signals
1 dated events
- P•••••• C•••••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 11, 2013 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026