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••• L•••
Legal name P••••••• I••••••••• A••••••• L•••
Latest filing Dec 10, 2021
First filing on the tape Apr 3, 2012 · 17 filings
RAUM
$75.9M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
23%
$17.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$75.9M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$99.0M gross assets
History
17 filings and snapshots on the tape
RAUM$75.9M as of Mar 29, 2021
Apr 3, 2012$141M then
HNW client RAUM$17.4M as of Mar 29, 2021
Mar 27, 2018$17.2M then
State-registered IARs (5.B.3)1 as of Mar 29, 2021
Mar 27, 20130 then
Employees (5.A)3 as of Mar 29, 2021
Mar 27, 20132 then
Private funds2 as of Mar 29, 2021
Apr 3, 20122 then
RAUM -20% over the last fiscal year-5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 10, 2021; every figure names its basis
- RAUM per advisor
- $75.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $483,111derivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$58.3M77%
- High-net-worth individuals$17.4M23%
- Individuals$189,7360.2%
- Individual clients
- 4reported
- HNW clients
- 36reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 39reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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•••• H••• | Atlanta, Ga | Oct 3, 2018 | 22 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P••••••• L• | Hedge Fund | $99.0M | 60 | Apr 3, 2012 |
| P••••••• F••••• O••••• F••• L• | Hedge Fund | $1,000 | 35 | Apr 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• W••••••• C•••••• · General Partnercontrolsince 01/1990 · owns 50% to 75%
- H•••• J••••••••• C•••• · Limited Partnercontrolsince 01/2018 · owns 10% to 25%
- V••••••• M•••••••• B•••••• · Limited Partner / Chief Compliance Officercontrolsince 10/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
- J••• D•••• H•••pooled vehicle sponsory
- W•••••• C• B••••••••• J••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 2 to 1Mar 29, 2021 to Aug 13, 2021
- HNW clients · 35 to 36May 19, 2020 to Mar 29, 2021
- Individual clients · 6 to 4May 19, 2020 to Mar 29, 2021
- Discretionary RAUM · $90.8M to $70.5MMay 19, 2020 to Mar 29, 2021
- HNW RAUM · $11.9M to $17.4MMay 19, 2020 to Mar 29, 2021
- Individual RAUM · $255,236 to $189,736May 19, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $3.9M to $5.4MMay 19, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $82.5M to $58.3MMay 19, 2020 to Mar 29, 2021
- RAUM · $94.6M to $75.9MMay 19, 2020 to Mar 29, 2021
- Accounts · 36 to 39Mar 26, 2019 to Mar 26, 2020
- Business name · P••••••• I••••••••• A••••••• L• to P••• L•••Mar 26, 2019 to Mar 26, 2020
- HNW clients · 30 to 35Mar 26, 2019 to Mar 26, 2020
- Employees · 4 to 3Mar 26, 2019 to Mar 26, 2020
- Discretionary RAUM · $111M to $90.8MMar 26, 2019 to Mar 26, 2020
- HNW RAUM · $15.3M to $11.9MMar 26, 2019 to Mar 26, 2020
- Individual RAUM · $320,329 to $255,236Mar 26, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $4.0M to $3.9MMar 26, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $99.0M to $82.5MMar 26, 2019 to Mar 26, 2020
- RAUM · $115M to $94.6MMar 26, 2019 to Mar 26, 2020
- Accounts · 69 to 36Mar 27, 2018 to Mar 26, 2019
- Advisory employees · 0 to 1Mar 27, 2018 to Mar 26, 2019
- HNW clients · 63 to 30Mar 27, 2018 to Mar 26, 2019
- Individual clients · unset to 6.0Mar 27, 2018 to Mar 26, 2019
- Employees · 1 to 4Mar 27, 2018 to Mar 26, 2019
- State-registered IARs · 0 to 1Mar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $86.2M to $111MMar 27, 2018 to Mar 26, 2019
- HNW RAUM · $17.2M to $15.3MMar 27, 2018 to Mar 26, 2019
- Individual RAUM · $60,716 to $320,329Mar 27, 2018 to Mar 26, 2019
- Non-discretionary RAUM · $4.0M to $4.0MMar 27, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $73.0M to $99.0MMar 27, 2018 to Mar 26, 2019
- RAUM · $90.2M to $115MMar 27, 2018 to Mar 26, 2019
- Accounts · 65 to 69Mar 31, 2017 to Mar 27, 2018
- Advisory employees · 1 to 0Mar 31, 2017 to Mar 27, 2018
- HNW clients · unset to 63.0Mar 31, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 2.0Mar 31, 2017 to Mar 27, 2018
- Employees · 2 to 1Mar 31, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 27, 2018
- Discretionary RAUM · $93.4M to $86.2MMar 31, 2017 to Mar 27, 2018
- HNW RAUM · unset to 17197616.0Mar 31, 2017 to Mar 27, 2018
- Individual RAUM · unset to 60716.0Mar 31, 2017 to Mar 27, 2018
Signals
1 dated events
- P••••••• I••••••••• A••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 3, 2012 · 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.
How to reach
public business contact points only, each with its source
- Website
- PIAINVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 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
- $75.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026