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•••• C•••••• C•••••• L••
Latest filing May 4, 2026
First filing on the tape Mar 28, 2012 · 31 filings
SEC status approved since Nov 3, 1997
RAUM
$6.1B
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
46
28 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$6.1B as of May 4, 2026
Mar 28, 2012$3.7B then
HNW client RAUM$0 as of May 4, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 28, 20120 then
Employees (5.A)46 as of May 4, 2026
Mar 28, 201349 then
Private funds3 as of May 4, 2026
Mar 28, 20127 then
RAUM -17% over the last fiscal year-3.7% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $139MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 60%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $178M, 3 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.8B29%
- State and municipal entities$1.3B22%
- Pooled investment vehicles$1.2B20%
- Investment companies$920M15%
- Charitable organizations$402M6.6%
- Other investment advisers$318M5.2%
- Sovereign wealth funds$163M2.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 8reported
- Charitable clients
- 3reported
- Accounts
- 44reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.4 institutional_share=0.6 related_bd=false related_bank=false bd_reps=4.0derived
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 |
|---|---|---|---|---|
| D•• C•••••• M••••••••• G•••• T•••• • H••• Y•••• I••••••••• F•••no longer reported | Other Private Fund | $326M | 4 | Mar 27, 2014 |
| D•• A••• H••• Y•••• F•••• L•••no longer reported | Hedge Fund | $249M | 2 | Mar 27, 2014 |
| D•• C•••••• M••••••••• G•••• T•••• • D•• C••••• H••• Y•••• F••• 2•••no longer reported | Other Private Fund | $208M | 2 | Mar 28, 2018 |
| D•••••• S•••••••• I••••• F•••• L•••no longer reported | Hedge Fund | $99.6M | 2 | Mar 27, 2014 |
| P•••• C•••••• F••••• L•• • P•••• C•••••• O••••••••• H••• Y•••• F••• | Other Private Fund | $15.5M | 5 | Mar 30, 2023 |
| P•••• C•••••• F••••• L•• • P•••• C•••••• F••••••• R••• L••• F••• | Other Private Fund | $10.8M | 5 | Mar 30, 2023 |
| D•• I••••••••• H••• Y•••• F•••• L•••no longer reported | Other Private Fund | $8.5M | 13 | Mar 28, 2013 |
| P•••• C•••••• F••••• L•• • P•••• C•••••• U••• H••• Y•••• F••• | Other Private Fund | $4.0M | 3 | Mar 30, 2023 |
| B• I• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $3.9M | 38 | Mar 28, 2012 |
| B• I•• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $824,078 | 52 | Mar 28, 2012 |
| D•• T•••• R••••• L••• F•••• L•••no longer reported | Private Equity Fund | $775,794 | 13 | Mar 28, 2012 |
| D••••••••• C••••• O••••••••• F••• L•••no longer reported | Hedge Fund | $487,312 | 2 | Mar 28, 2012 |
| B• I•••• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $8,429 | 11 | Mar 28, 2012 |
| P•••• D•• S•••••••• I••••• P••• F•••• L••• | Hedge Fund | $0 | 8 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••• S••••••• C•••••• · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- D••••••••• D•••••• A••• · Trusteecontrolsince 02/2022 · owns F of D••••• A• D••••••••• R•••••••• T••••
- M•••• S••••••• C•••••• · Trusteecontrolsince 10/2015 · owns F of S••• C• M••• R•••••••• T••••
- M•••••••• J•••••• L••• · Chief Compliance Officer/General Counselsince 01/2022 · owns less than 5%
Entity owners
- P•••• C•••••• M••••••••• L•• · Memberdirect · owns 75% or more
- D••••• A• D••••••••• R•••••••• T•••• · Memberindirect · owns 50% to 75% of P•••• C•••••• H••••••• G•• L••
- D••••• A• D••••••••• R•••••••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of P•••• C•••••• H•••••••• L•
- P•••• C•••••• H••••••• G•• L•• · General Partnerindirect · owns F of P•••• C•••••• H•••••••• L•
- P•••• C•••••• H•••••••• L• · Memberindirect · owns 50% to 75% of P•••• C•••••• M••••••••• L••
- S••• C• M••• R•••••••• T•••• · L•••••• Partnerindirect · owns 25% to 50% of P•••• C•••••• H•••••••• L•
- S••• C• M••• R•••••••• T•••• · Memberindirect · owns 50% to 75% of P•••• C•••••• H••••••• G•• L••
Related persons
Schedule D 7.A
- I••••• P••••••• A•••• M••••••••• ••• L••••••investment advisery
- P•••• C•••••• C•• E••••• G• L••pooled vehicle sponsory
- P•••• C•••••• C•• M••••••••• L••investment adviseryRAUM $808M
- P•••• C•••••• H• L••••••investment advisern
- P•••• C•••••• M••••••••• L••investment adviseryRAUM $24B
- P•••• C•••••• U• L••investment advisernRAUM $997,037
- P••••••• S•••••••• I••••• P•••• L••pooled vehicle sponsory
- S••••• R•••• C•••••• P••••••• L•••investment adviserpooled vehicle sponsory
Advisers that list P•••• C•••••• C•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 48 to 44May 6, 2025 to Mar 26, 2026
- Advisory employees · 23 to 28May 6, 2025 to Mar 26, 2026
- BD registered reps · 6 to 4May 6, 2025 to Mar 26, 2026
- Charity clients · 2 to 3May 6, 2025 to Mar 26, 2026
- Pension plan clients · 9 to 8May 6, 2025 to Mar 26, 2026
- Pooled vehicle clients · 15 to 14May 6, 2025 to Mar 26, 2026
- Assets in custody · $138M to $178MMay 6, 2025 to Mar 26, 2026
- Employees · 48 to 46May 6, 2025 to Mar 26, 2026
- Other offices · 1 to 2May 6, 2025 to Mar 26, 2026
- Private funds · 5 to 3May 6, 2025 to Mar 26, 2026
- Discretionary RAUM · $7.4B to $6.1BMay 6, 2025 to Mar 26, 2026
- Pension RAUM · $2.7B to $1.8BMay 6, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.1B to $1.2BMay 6, 2025 to Mar 26, 2026
- RAUM · $7.4B to $6.1BMay 6, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 6, 2025
- Advisory employees · 22 to 23Apr 30, 2024 to Mar 27, 2025
- BD registered reps · 3 to 6Apr 30, 2024 to Mar 27, 2025
- Pension plan clients · 8 to 9Apr 30, 2024 to Mar 27, 2025
- Pooled vehicle clients · 12 to 15Apr 30, 2024 to Mar 27, 2025
- Assets in custody · $129M to $138MApr 30, 2024 to Mar 27, 2025
- Employees · 52 to 48Apr 30, 2024 to Mar 27, 2025
- Private funds · 4 to 5Apr 30, 2024 to Mar 27, 2025
- Discretionary RAUM · $7.4B to $7.4BApr 30, 2024 to Mar 27, 2025
- Pension RAUM · $2.5B to $2.7BApr 30, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.0B to $1.1BApr 30, 2024 to Mar 27, 2025
- RAUM · $7.4B to $7.4BApr 30, 2024 to Mar 27, 2025
- Accounts · 46 to 48Jul 6, 2023 to Mar 28, 2024
- Advisory employees · 17 to 22Jul 6, 2023 to Mar 28, 2024
- Advisory activities · 4 to 3Jul 6, 2023 to Mar 28, 2024
- Assets in custody · $287M to $129MJul 6, 2023 to Mar 28, 2024
- Employees · 43 to 52Jul 6, 2023 to Mar 28, 2024
- Other offices · 0 to 1Jul 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $6.9B to $7.4BJul 6, 2023 to Mar 28, 2024
- Pension RAUM · $2.2B to $2.5BJul 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $932M to $1.0BJul 6, 2023 to Mar 28, 2024
- RAUM · $6.9B to $7.4BJul 6, 2023 to Mar 28, 2024
- Advisory employees · 15 to 17Mar 29, 2022 to Mar 30, 2023
- BD registered reps · 4 to 3Mar 29, 2022 to Mar 30, 2023
- Pension plan clients · 11 to 8Mar 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 9 to 12Mar 29, 2022 to Mar 30, 2023
Signals
6 dated events
- Anson Damon Ficklin (Manager) no longer on Schedule A of P•••• C•••••• C•••••• L•• (listed 2022-03-29, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- John David Breazzano (Elected Manager/President) no longer on Schedule A of P•••• C•••••• C•••••• L•• (listed 2021-11-02, absent 2022-02-09)Feb 9, 2022 · Control person left · inference
- Michael Anthony Ranaldi (Trustee And Sole Beneficial Owner) no longer on Schedule A of P•••• C•••••• C•••••• L•• (listed 2021-11-02, absent 2022-02-09)Feb 9, 2022 · Control person left · inference
- Charles Stanley Moss (Chief Executive Officer) appeared on Schedule A of P•••• C•••••• C•••••• L••Feb 9, 2022 · Control person joined · fact
- Adam Daniel Davidowitz (Member) appeared on Schedule A of P•••• C•••••• C•••••• L••Feb 9, 2022 · Control person joined · fact
- Anson Damon Ficklin (Manager) appeared on Schedule A of P•••• C•••••• C•••••• L••Feb 9, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P•••• C•••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••• C•••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/polen-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-283-8500reportedpublic record, Form ADV, May 4, 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
- Other 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