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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SEC-registered adviser
P•••• I••••••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Dec 15, 1995
RAUM
$81B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.1%
$104M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$81B
derived; firm RAUM over IAPD count
Employees
164
55 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$81B as of Mar 30, 2026
Mar 28, 2012$15B then
HNW client RAUM$101M as of Mar 30, 2026
Mar 29, 2018$183M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)164 as of Mar 30, 2026
Apr 1, 201370 then
Private funds6 as of Mar 30, 2026
Mar 28, 20126 then
RAUM +28% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $332MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 164.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- 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 companiesreportedItem 5.G
- Custody
- $424M, 4 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)
- compensates persons for client referrals (8.G.1)
- 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)
- 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$36B44%
- Investment companies$24B30%
- State and municipal entities$14B18%
- Pension and profit-sharing plans$3.1B3.9%
- Other investment advisers$1.2B1.5%
- Corporations and businesses$1.1B1.3%
- Insurance companies$573M0.7%
- Charitable organizations$419M0.5%
- Sovereign wealth funds$199M0.2%
- High-net-worth individuals$101M0.1%
- Individuals$3.4M0.0%
- Individual clients
- 8reported
- HNW clients
- 36reported
- Pension plan clients
- 23reported
- Charitable clients
- 21reported
- Accounts
- 245reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $424M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.23 related_bd=true related_bank=false bd_reps=16.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• S•••••• P•••• | New York, Ny | Jan 9, 1996 | 40 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
12 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••••• J•••• · Chief Legal Officercontrolsince 01/2023 · owns less than 5%
- C••• C•••••• C••••••• · Chief Executive Officercontrolsince 02/2019 · owns less than 5%
- C•••••• S•••••• M••• · Chief Legal Risk Officer And Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- D••••• J••••••• R••• · Chief Financial Officercontrolsince 07/2016 · owns less than 5%
- F•••• E•••• K•••• · Chief Operating Officercontrolsince 09/2019 · owns less than 5%
- F••••• A••••••• J••• · Presidentcontrolsince 01/2023 · owns less than 5%
- G••••• J•••• P••• · Co-Chief Investment Officercontrolsince 06/1996 · owns less than 5%
- L•••••• W••••••• L•••• · Vice Chairmancontrolsince 02/1997 · owns less than 5%
- P••••• R••••••• S•••••• · Chairman; Co-Chief Investment Officercontrolsince 12/1995 · owns less than 5%
- P••••• R••••••• S•••••• · L•••••• Partnercontrolsince 01/2016 · owns 50% to 75% of P•••• I••••••••• M••••••••• L•
Entity owners
- P•••• I••••••••• M••••••••• L• · Member With Class B Unitsdirect · owns 75% or more
- P•••• I••••••••• M••••••••• G•• L•• · General Partnerindirect · owns F of P•••• I••••••••• M••••••••• L•
Related persons
Schedule D 7.A
- P•••• F•••••••• S•••••••• L••broker-dealery
- P•••• F•••••• C••••• O••••••••• F••• •••• L••pooled vehicle sponsory
- P•••• G••••• B••• I•••• •••• L••pooled vehicle sponsory
- P•••• I••••••••• M••••••••• E••••• L••••••investment advisery
- P•••• U••• B••• I•••• •••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 241 to 245May 20, 2025 to Mar 30, 2026
- Advisory employees · 51 to 55May 20, 2025 to Mar 30, 2026
- BD registered reps · 17 to 16May 20, 2025 to Mar 30, 2026
- Charity clients · 22 to 21May 20, 2025 to Mar 30, 2026
- Corporate clients · 46 to 45May 20, 2025 to Mar 30, 2026
- HNW clients · 32 to 36May 20, 2025 to Mar 30, 2026
- Individual clients · 10 to 8May 20, 2025 to Mar 30, 2026
- Pension plan clients · 28 to 23May 20, 2025 to Mar 30, 2026
- Pooled vehicle clients · 47 to 53May 20, 2025 to Mar 30, 2026
- Assets in custody · $507M to $424MMay 20, 2025 to Mar 30, 2026
- Employees · 159 to 164May 20, 2025 to Mar 30, 2026
- Private funds · 7 to 6May 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $63B to $81BMay 20, 2025 to Mar 30, 2026
- HNW RAUM · $95.2M to $101MMay 20, 2025 to Mar 30, 2026
- Individual RAUM · $5.1M to $3.4MMay 20, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $626M to $870MMay 20, 2025 to Mar 30, 2026
- Pension RAUM · $3.2B to $3.1BMay 20, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $26B to $36BMay 20, 2025 to Mar 30, 2026
- RAUM · $64B to $81BMay 20, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 20, 2025
- Accounts · 225 to 241Mar 28, 2024 to Mar 28, 2025
- Charity clients · 20 to 22Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 29 to 46Mar 28, 2024 to Mar 28, 2025
- HNW clients · 30 to 32Mar 28, 2024 to Mar 28, 2025
- Individual clients · 9 to 10Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 53 to 47Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $474M to $507MMar 28, 2024 to Mar 28, 2025
- Employees · 156 to 159Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $58B to $63BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $93.4M to $95.2MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $4.2M to $5.1MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $868M to $626MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $3.2B to $3.2BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $20B to $26BMar 28, 2024 to Mar 28, 2025
- RAUM · $59B to $64BMar 28, 2024 to Mar 28, 2025
- Accounts · 228 to 225Jan 18, 2024 to Mar 28, 2024
- Charity clients · 21 to 20Jan 18, 2024 to Mar 28, 2024
- HNW clients · 38 to 30Jan 18, 2024 to Mar 28, 2024
- Individual clients · 5 to 9Jan 18, 2024 to Mar 28, 2024
Signals
8 dated events
- P•••• I••••••••• M••••••••• L•• reported RAUM $81.4B, up 28% from $63.7B (2025-05-20 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Mark Steven Coffey (Chief Legal Risk Officer And Chief Compliance Officer) appeared on Schedule A of P•••• I••••••••• M••••••••• L••Jan 30, 2023 · Control person joined · fact
- Jacob Geoffrey Bauer (Chief Legal Officer) appeared on Schedule A of P•••• I••••••••• M••••••••• L••Jan 30, 2023 · Control person joined · fact
- Jill Allison Fisch (President) appeared on Schedule A of P•••• I••••••••• M••••••••• L••Jan 30, 2023 · Control person joined · fact
- Frances Joan Berger (General Counsel And Chief Compliance Officer) no longer on Schedule A of P•••• I••••••••• M••••••••• L•• (listed 2022-11-23, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- Keith Evan Fire (Managing Principal; Chief Operating Officer) appeared on Schedule A of P•••• I••••••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- J Gary Bachman (Managing Principal; Chief Operating Officer) no longer on Schedule A of P•••• I••••••••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Caroline Chenyu Cai (Managing Principal; Executive Vice President) appeared on Schedule A of P•••• I••••••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
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
- Business email
- info@pzena.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-355-1600reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- pzena.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-355-1600reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- pzena.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $81Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026