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•• A•••••• I••
Legal name P•• A••••••• I•••
Latest filing May 29, 2026
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Feb 20, 1992
RAUM
$94B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$1.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
217
117 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
11
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$94B as of May 29, 2026
Mar 30, 2012$82B then
HNW client RAUM$1.5M as of May 29, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of May 29, 2026
Apr 1, 20130 then
Employees (5.A)217 as of May 29, 2026
Apr 1, 2013193 then
Private funds11 as of May 29, 2026
Mar 30, 20129 then
RAUM +26% over the last fiscal year+9.4% a year over threeIARs 0 to 0offices 6 to 5
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $2.4B, 2 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)
- 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$74B79%
- Pooled investment vehicles$12B13%
- Other investment advisers$4.4B4.7%
- Investment companies$3.4B3.7%
- Pension and profit-sharing plans$52.5M0.1%
- Corporations and businesses$32.2M0.0%
- High-net-worth individuals$1.5M0.0%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 67reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.21 institutional_share=0.79 related_bd=true related_bank=true bd_reps=8.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• A•••••• P•••••• E••••• F••• V•• L• | Private Equity Fund | $831M | 10 | Mar 28, 2019 |
| P•• A•••••• P•••••• E••••• F••• V••••• L• | Private Equity Fund | $589M | 2 | Mar 29, 2022 |
| P•• A•••••• P•••••• E••••• F••• V• L• | Private Equity Fund | $213M | 10 | Mar 29, 2017 |
| P•• A•••••• P•••••• E••••• F••• V••• L• | Private Equity Fund | $151M | 9 | Mar 28, 2024 |
| P•• A•••••• P•••••• E••••• F••• L•no longer reported | Private Equity Fund | $107M | 2 | Mar 30, 2012 |
| P•• A•••••• P•••••• E••••• F••• I• L• | Private Equity Fund | $101M | 9 | Mar 30, 2012 |
| P•• A•••••• P•••••• E••••• F••• I•• L• | Private Equity Fund | $55.5M | 9 | Mar 30, 2012 |
| P•• A•••••• P•••••• E••••• F••• V• L• | Private Equity Fund | $29.7M | 9 | Mar 30, 2015 |
| P•• A•••••• P•••••• E••••• F••• I• L•no longer reported | Private Equity Fund | $18.4M | 2 | Mar 30, 2012 |
| S••••• 2••••• L••no longer reported | Other Private Fund | $17.4M | 5 | Mar 30, 2012 |
| P•• A•••••• H••• G•••• C•• I• L•••no longer reported | Securitized Asset Fund | $10.5M | 8 | Mar 30, 2012 |
| P•• A•••••• S••••••••• F•••••• C•• I• L••• | Securitized Asset Fund | $4.8M | 1 | Mar 30, 2012 |
| P•• G••••••• C••• L•••no longer reported | Securitized Asset Fund | $592,672 | 1 | Mar 30, 2012 |
| O•• H•••••• F••• I• L••no longer reported | Private Equity Fund | $369,254 | 62 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• R•••••• · Senior Vice President, Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- C••••••• M•••• T• · Executive Vice President, Chief Operating Officer, General Counsel, Directorcontrolsince 01/2021 · owns less than 5%
- J•••••• O••••• · Executive Vice President, Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- S••••• C••••• D••••• · Chairman Of The Board, President, Chief Executive Officer, Chief Investment Officer, Directorcontrolsince 01/2021 · owns less than 5%
- R•••••• D•••• S•••••••• · Directorsince 11/2023 · owns less than 5%
- R•••• C••••••••• A•••• · Directorsince 11/2023 · owns less than 5%
- R•••• A•••••• R••• · Directorsince 07/2016 · owns less than 5%
Entity owners
- P•• H•••••••• I••• · Sole Shareholder Of Applicantdirect · owns 75% or more
- J•••••• F•••••••• I••• · Sole Shareholderindirect · owns 75% or more of J•••••• H••••••• L•• · public reporting company
- J•••••• H••••••• L•• · Sole Shareholderindirect · owns 75% or more of P•• H•••••••• I•••
Related persons
Schedule D 7.A
- B••••• L••• I•••••••• C••••••real estaten
- J•••••• N••••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $246B
- J•••••• N••••••• L••• •••••••• L••••••real estaten
- J•••••• N••••••• L••• D••••••••• L••broker-dealern
- J•••••• N••••••• L••• I•••••••• C••••••real estaten
- J•••••• N••••••• L••• I•••••••• C•••••• O• N•• Y•••real estaten
- P•• A•••••• C•••••• P••••••• I••• L••investment adviserpooled vehicle sponsory
- P•• A•••••• C•••••• P••••••• I•• L••investment adviserpooled vehicle sponsory
- P•• A•••••• C•••••• P••••••• V• L••investment adviserpooled vehicle sponsory
- P•• A•••••• C•••••• P••••••• V•• L••investment adviserpooled vehicle sponsory
- P•• A•••••• C•••••• P••••••• V••• L••investment adviserpooled vehicle sponsory
- P•• A•••••• C•••••• P••••••• V•••• L••investment adviserpooled vehicle sponsorn
- P•• L••• M••••••••• C•••••• 2• L••investment adviseryRAUM $2.7B
- P•• P••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsory
- S••••• R••••••••• C•••••• I•• I••real estaten
- S••••• R••••••••• C•••••• L••real estaten
Advisers that list P•• A•••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 6 to 5Mar 29, 2026 to May 29, 2026
- Accounts · 59 to 67Jan 14, 2026 to Mar 29, 2026
- Advisory employees · 112 to 117Jan 14, 2026 to Mar 29, 2026
- BD registered reps · 10 to 8Jan 14, 2026 to Mar 29, 2026
- Corporate clients · 0 to 1Jan 14, 2026 to Mar 29, 2026
- Pooled vehicle clients · 23 to 26Jan 14, 2026 to Mar 29, 2026
- Assets in custody · $2.0B to $2.4BJan 14, 2026 to Mar 29, 2026
- Employees · 212 to 217Jan 14, 2026 to Mar 29, 2026
- Private funds · 8 to 11Jan 14, 2026 to Mar 29, 2026
- Discretionary RAUM · $74B to $93BJan 14, 2026 to Mar 29, 2026
- HNW RAUM · $874,700 to $1.5MJan 14, 2026 to Mar 29, 2026
- Non-discretionary RAUM · $481M to $846MJan 14, 2026 to Mar 29, 2026
- Pension RAUM · $53.4M to $52.5MJan 14, 2026 to Mar 29, 2026
- Pooled vehicle RAUM · $9.7B to $12BJan 14, 2026 to Mar 29, 2026
- RAUM · $74B to $94BJan 14, 2026 to Mar 29, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 10, 2025
- Accounts · 57 to 59Mar 28, 2024 to Mar 31, 2025
- Advisory activities · 4 to 5Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 7 to 10Mar 28, 2024 to Mar 31, 2025
- HNW clients · 0 to 1Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 19 to 23Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $2.4B to $2.0BMar 28, 2024 to Mar 31, 2025
- Employees · 209 to 212Mar 28, 2024 to Mar 31, 2025
- Other offices · 5 to 6Mar 28, 2024 to Mar 31, 2025
- Private funds · 7 to 8Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $73B to $74BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $0 to $874,700Mar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $530M to $481MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $116M to $53.4MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.1B to $9.7BMar 28, 2024 to Mar 31, 2025
- RAUM · $73B to $74BMar 28, 2024 to Mar 31, 2025
- Accounts · 55 to 57Dec 8, 2023 to Mar 28, 2024
- Assets in custody · $218M to $2.4BDec 8, 2023 to Mar 28, 2024
- Employees · 217 to 209Dec 8, 2023 to Mar 28, 2024
- Other offices · 4 to 5Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $71B to $73BDec 8, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $588M to $530MDec 8, 2023 to Mar 28, 2024
- Pension RAUM · $89.0M to $116MDec 8, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $8.2B to $9.1BDec 8, 2023 to Mar 28, 2024
- RAUM · $72B to $73BDec 8, 2023 to Mar 28, 2024
Signals
9 dated events
- P•• A•••••• I•• reported RAUM $93.8B, up 26% from $74.5B (2026-01-14 to 2026-03-29)Mar 29, 2026 · RAUM change · derived
- O••• B•••••• H••••• (Director) no longer on Schedule A of P•• A•••••• I•• (listed 2023-03-30, absent 2023-07-17)Jul 17, 2023 · Control person left · inference
- Chadwick Paul Myers (Chairman Of The Board, Director) no longer on Schedule A of P•• A•••••• I•• (listed 2022-11-03, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- P•• A•••••• I•• reported RAUM $79.3B, down 25% from $106.3B (2021-10-14 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Bernard Mark Mandich (President, Chief Executive Officer, Director) no longer on Schedule A of P•• A•••••• I•• (listed 2020-03-27, absent 2021-01-25)Jan 25, 2021 · Control person left · inference
- Edward Thomas Barnicle (Executive Vice President, Chief Administrative Officer) no longer on Schedule A of P•• A•••••• I•• (listed 2020-03-27, absent 2021-01-25)Jan 25, 2021 · Control person left · inference
- G•••• D••••••• (Executive Vice President, Chief Financial Officer) no longer on Schedule A of P•• A•••••• I•• (listed 2020-03-27, absent 2021-01-25)Jan 25, 2021 · Control person left · inference
- O••••• J••••• (Executive Vice President, Chief Financial Officer) appeared on Schedule A of P•• A•••••• I••Jan 25, 2021 · Control person joined · fact
- Gerard Anthony Balestrieri (Director, Chief Investment Officer) no longer on Schedule A of P•• A•••••• I•• (listed 2018-06-04, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P•• A•••••• I•• · Independent Sponsorsshared crd · capital_provider
- P•• A•••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ppm-america-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- PPMA••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-634-2500reportedpublic record, Form ADV, May 29, 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
- Institutional managerderiveda 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