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•••••• I••••••••• P•••••••• I••
Latest filing Sep 12, 2018
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$39.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.9%
$1.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$39.3M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
$35.4M gross assets
History
34 filings and snapshots on the tape
RAUM$61.3M as of Mar 27, 2018
Mar 30, 2012$96.4M then
HNW client RAUM: $716,856
State-registered IARs (5.B.3)3 as of Mar 27, 2018
Mar 30, 20120 then
Employees (5.A)3 as of Mar 27, 2018
Apr 1, 20137 then
Private funds7 as of Mar 27, 2018
Mar 30, 201216 then
RAUM -63% over the last fiscal year-35% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Sep 12, 2018; every figure names its basis
- RAUM per advisor
- $39.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $368,100derivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -42%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 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 pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $32.1M, 8 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$36.4M93%
- Individuals$1.2M3.0%
- Corporations and businesses$949,5972.4%
- High-net-worth individuals$736,1991.9%
- Individual clients
- 15reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 28reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.1M for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••••• P•••••• | Mount Pleasant, Sc | Dec 15, 2025 | 43 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••• F•••••• H••••••• to A•••••• W••••• M••••••••• L••Feb 15, 2018 · Other
- T•••• T••••• H••••• to I••••• G••••• A•••••••• L••Sep 20, 2010 · Other
Joined, latest
- T•••• T••••• H••••• from F••••••• I••••••••• A••••••• S•••••••• L••Jul 21, 2010 · Other
Private funds
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• M•••••• M••••••••• F••• • L•• | Hedge Fund | $17.4M | 1 | Mar 30, 2012 |
| P•••••• T••••••• T•••••• F••• • L••no longer reported | Hedge Fund | $16.0M | 3 | Jan 16, 2013 |
| P•••••• G••••• M•••• M••••••••• F••• • L••no longer reported | Hedge Fund | $14.1M | 2 | Jan 16, 2013 |
| P•••••• M•••••• F••••••• L••••••••• A••••••• S••••• •no longer reported | Hedge Fund | $11.0M | 2 | Mar 30, 2012 |
| P•••••• M•••••• F•••••• L••••••••• T•••••• S••••• •no longer reported | Hedge Fund | $10.5M | 2 | Mar 30, 2012 |
| P•••••• G••••• S••••••••• T•••••• F••• • L••no longer reported | Hedge Fund | $10.0M | 1 | Jan 16, 2013 |
| P•••••• M•••••• F•••••• L••••••••• S••••••••• T•••••• S••••• •no longer reported | Hedge Fund | $10.0M | 1 | Mar 30, 2012 |
| P•••••• C•••••••• T••••• F••• • L••no longer reported | Hedge Fund | $8.0M | 2 | Jan 16, 2013 |
| P•••••• P•••• E••••• ••••••• L•no longer reported | Hedge Fund | $7.6M | 32 | Mar 30, 2012 |
| P•••••• P•••• T••••••••• L•no longer reported | Hedge Fund | $6.1M | 15 | Mar 30, 2012 |
| P•••••• G••••• M•••• T•••••• F••• • L••no longer reported | Hedge Fund | $6.0M | 7 | Jan 16, 2013 |
| P•••••• G••••• S••••••••• T•••••• F••• • L••no longer reported | Hedge Fund | $5.8M | 4 | Jan 16, 2013 |
| P•••••• A••••••••• T••••••••• T••••• F••• • L•• | Hedge Fund | $5.7M | 15 | Jan 16, 2013 |
| P•••••• P••••••• C••••••••• F••• • L••no longer reported | Hedge Fund | $5.5M | 4 | Jan 16, 2013 |
| P•••••• G••••• S••••••••• T•••••• F••• • L••no longer reported | Hedge Fund | $5.0M | 2 | Jan 16, 2013 |
| P•••••• P•••• E••••• L•no longer reported | Hedge Fund | $3.9M | 16 | Mar 30, 2012 |
| P•••••• P•••• S•••• C•• V•••• L• | Hedge Fund | $3.8M | 20 | Mar 30, 2012 |
| P•••••• P•••• E•••••• L•••no longer reported | Hedge Fund | $3.7M | 16 | Mar 30, 2012 |
| P•••••• G•••• T•••• ••••• M••••••• F••• | Hedge Fund | $3.6M | 13 | Mar 30, 2012 |
| P•••••• G•••• T••••••••• A•••• A••••••••• F••• | Hedge Fund | $3.1M | 11 | Mar 30, 2012 |
| P•••••• E•••• T•••••• F••• C••••• L••no longer reported | Hedge Fund | $2.7M | 3 | Mar 31, 2015 |
| P•••••• E•••• T•••••• F••• L••no longer reported | Hedge Fund | $2.7M | 3 | Mar 31, 2015 |
| P•••••• M••••• N•••••• F••• • L••no longer reported | Hedge Fund | $2.0M | 4 | Apr 1, 2013 |
| P•••••• G••••• S••••••••• T•••••• F••• • L••no longer reported | Hedge Fund | $1.8M | 2 | Jan 16, 2013 |
| P•••••• P•••• E•••• T•••••• F••• L••no longer reported | Hedge Fund | $1.7M | 4 | Oct 21, 2013 |
| P•••••• R••••••• T•••••• F••• C••••• L•••no longer reported | Hedge Fund | $1.7M | 4 | May 21, 2013 |
| P•••••• M••••• T••••••• L•no longer reported | Hedge Fund | $1.6M | 8 | Mar 30, 2012 |
| P•••••• G•••• T••••••••• T•••••• F•••no longer reported | Hedge Fund | $1.3M | 11 | Mar 30, 2012 |
| P•••••• A• T••••• F••• • L••no longer reported | Hedge Fund | $1.2M | 4 | Jan 16, 2013 |
| P•••••• T••••••••• M••••••• F••• • L•• | Hedge Fund | $996,652 | 5 | Jan 16, 2013 |
| P•••••• G•••• T••••••••• S••••••••• F•••no longer reported | Hedge Fund | $811,632 | 12 | Mar 30, 2012 |
| P•••••• M••••• A•• F••• L•• | Hedge Fund | $795,447 | 4 | May 23, 2018 |
| P•••••• P•••• P••••••••• L• •• W••• D•••• A••••••• D•••••••••no longer reported | Hedge Fund | $235,274 | 5 | Mar 30, 2012 |
| P•••••• P•••• O••••• T•••••• L•no longer reported | Hedge Fund | $22,830 | 8 | Mar 30, 2012 |
| P•••••• V••••••••• M••••••• L•• | Hedge Fund | $17,690 | 2 | Oct 21, 2013 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• J•••• C•••••••• · President & Chief Compliance Officercontrolsince 12/1990 · owns 75% or more
- H•••••• R•••••• W•••• · Vice President & Funds Controllersince 08/2004 · owns less than 5%
- M•••• D•••••• J••• · Vice President & Compliance Administratorsince 03/1995 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• P•••••• M•••••••• L••bankpooled vehicle sponsory
- P•••••• P•••••• P••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 21 to 28Aug 8, 2018 to Sep 12, 2018
- BD registered reps · 0 to 1Aug 8, 2018 to Sep 12, 2018
- HNW clients · 3 to 2Aug 8, 2018 to Sep 12, 2018
- Individual clients · 18 to 15Aug 8, 2018 to Sep 12, 2018
- Pooled vehicle clients · 11 to 10Aug 8, 2018 to Sep 12, 2018
- Assets in custody · $53.1M to $32.1MAug 8, 2018 to Sep 12, 2018
- Discretionary RAUM · $61.3M to $39.3MAug 8, 2018 to Sep 12, 2018
- HNW RAUM · $716,856 to $736,199Aug 8, 2018 to Sep 12, 2018
- Individual RAUM · $935,544 to $1.2MAug 8, 2018 to Sep 12, 2018
- Non-discretionary RAUM · $25,035 to $0Aug 8, 2018 to Sep 12, 2018
- Pooled vehicle RAUM · $59.5M to $36.4MAug 8, 2018 to Sep 12, 2018
- RAUM · $61.3M to $39.3MAug 8, 2018 to Sep 12, 2018
- Private funds · 8 to 7May 23, 2018 to Aug 8, 2018
- Private funds · 7 to 8Mar 27, 2018 to May 23, 2018
- Accounts · 41 to 21Sep 29, 2017 to Mar 27, 2018
- Advisory employees · 2 to 1Sep 29, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Sep 29, 2017 to Mar 27, 2018
- Corporate clients · unset to 1.0Sep 29, 2017 to Mar 27, 2018
- HNW clients · unset to 3.0Sep 29, 2017 to Mar 27, 2018
- Individual clients · unset to 18.0Sep 29, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Sep 29, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 11.0Sep 29, 2017 to Mar 27, 2018
- Assets in custody · $83.1M to $53.1MSep 29, 2017 to Mar 27, 2018
- Employees · 5 to 3Sep 29, 2017 to Mar 27, 2018
- State-registered IARs · 4 to 3Sep 29, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Sep 29, 2017 to Mar 27, 2018
- Discretionary RAUM · $106M to $61.3MSep 29, 2017 to Mar 27, 2018
- HNW RAUM · unset to 716856.0Sep 29, 2017 to Mar 27, 2018
- Individual RAUM · unset to 935544.0Sep 29, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $20,673 to $25,035Sep 29, 2017 to Mar 27, 2018
- Pension RAUM · unset to 0.0Sep 29, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 59461267.0Sep 29, 2017 to Mar 27, 2018
- RAUM · $106M to $61.3MSep 29, 2017 to Mar 27, 2018
- Related adviser · true to falseSep 29, 2017 to Mar 27, 2018
- Related broker-dealer · false to trueSep 29, 2017 to Mar 27, 2018
- Private funds · 11 to 7Aug 7, 2017 to Sep 29, 2017
- Accounts · 38 to 41Jul 27, 2016 to Mar 31, 2017
- Advisory employees · 3 to 2Jul 27, 2016 to Mar 31, 2017
- Assets in custody · $100M to $83.1MJul 27, 2016 to Mar 31, 2017
- Employees · 7 to 5Jul 27, 2016 to Mar 31, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- polarisinvest.comreportedpublic record, Form ADV, Sep 18, 2026
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
- $39.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026