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•••••• P••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Apr 29, 1997
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
24%
$653M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$2.7B as of Mar 17, 2026
Mar 30, 2012$558M then
HNW client RAUM$653M as of Mar 17, 2026
Mar 30, 2018$82.9M then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Mar 30, 20120 then
Employees (5.A)12 as of Mar 17, 2026
Apr 1, 201316 then
Private funds2 as of Mar 17, 2026
Mar 30, 20126 then
RAUM +49% over the last fiscal year+34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- $131MderivedHNW RAUM over HNW clients
- Average account
- $343MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.7B, 6 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B76%
- High-net-worth individuals$653M24%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7B for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.24 fund_share=0.76 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• G•••••••• F•••• L••• | Hedge Fund | $2.1B | 8 | Mar 30, 2012 |
| P•••••• P••••••• I•••••••• F•••• L• P• | Hedge Fund | $10.3M | 1 | Mar 30, 2012 |
| P•••••• T•••••• F•••• L•••no longer reported | Hedge Fund | $1.4M | 6 | Mar 30, 2012 |
| P•••••• T•••••• F••• I••• L•••no longer reported | Hedge Fund | $1.2M | 4 | Mar 30, 2012 |
| P•••••• P••••••• I••••••••• F••• L•••no longer reported | Hedge Fund | $782,352 | 1 | Mar 30, 2012 |
| P•••••• T•••••• F••• I•• L•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• W••••••• F•••••• · Managing Membercontrolsince 04/1997 · owns 75% or more
- L••• W•••• N•• · Chief Compliance Officer/Chief Operating Officer/ Chief Technology Officercontrolsince 10/2008 · owns less than 5%
- A••••••• R••••••• H••••• · Executive Vice Presidentsince 02/2005 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• A•••• M•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- East Quogue, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $1,842,578,239 to $2,747,337,797 (+49.0%) between the annual amendments of 2025-03-14 and 2026-03-17; the peer median change was +17.0% (1297 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,297) · 92% percentile
What changed
consecutive filings, newest first
- Assets in custody · $1.8B to $2.7BMar 14, 2025 to Mar 17, 2026
- Discretionary RAUM · $1.8B to $2.7BMar 14, 2025 to Mar 17, 2026
- HNW RAUM · $523M to $653MMar 14, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $1.3B to $2.1BMar 14, 2025 to Mar 17, 2026
- RAUM · $1.8B to $2.7BMar 14, 2025 to Mar 17, 2026
- Assets in custody · $1.4B to $1.8BMar 15, 2024 to Mar 14, 2025
- Employees · 11 to 12Mar 15, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.4B to $1.8BMar 15, 2024 to Mar 14, 2025
- HNW RAUM · $345M to $523MMar 15, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $1.1B to $1.3BMar 15, 2024 to Mar 14, 2025
- RAUM · $1.4B to $1.8BMar 15, 2024 to Mar 14, 2025
- Accounts · 11 to 8Mar 20, 2023 to Mar 15, 2024
- Advisory employees · 6 to 5Mar 20, 2023 to Mar 15, 2024
- Assets in custody · $1.1B to $1.4BMar 20, 2023 to Mar 15, 2024
- Employees · 12 to 11Mar 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $1.1B to $1.4BMar 20, 2023 to Mar 15, 2024
- HNW RAUM · $239M to $345MMar 20, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $847M to $1.1BMar 20, 2023 to Mar 15, 2024
- RAUM · $1.1B to $1.4BMar 20, 2023 to Mar 15, 2024
- Accounts · 10 to 11Oct 28, 2022 to Mar 20, 2023
- Assets in custody · $907M to $1.1BOct 28, 2022 to Mar 20, 2023
- Discretionary RAUM · $911M to $1.1BOct 28, 2022 to Mar 20, 2023
- HNW RAUM · $191M to $239MOct 28, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $673M to $847MOct 28, 2022 to Mar 20, 2023
- RAUM · $911M to $1.1BOct 28, 2022 to Mar 20, 2023
- Accounts · 11 to 10Mar 22, 2021 to Mar 30, 2022
- Assets in custody · $645M to $907MMar 22, 2021 to Mar 30, 2022
- Discretionary RAUM · $654M to $911MMar 22, 2021 to Mar 30, 2022
- HNW RAUM · $131M to $191MMar 22, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $464M to $673MMar 22, 2021 to Mar 30, 2022
- RAUM · $654M to $911MMar 22, 2021 to Mar 30, 2022
- Related bank · true to falseMar 22, 2021 to Mar 30, 2022
- Assets in custody · $627M to $645MJun 9, 2020 to Mar 22, 2021
- Discretionary RAUM · $632M to $654MJun 9, 2020 to Mar 22, 2021
- HNW RAUM · $89.4M to $131MJun 9, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $490M to $464MJun 9, 2020 to Mar 22, 2021
- RAUM · $632M to $654MJun 9, 2020 to Mar 22, 2021
- Assets in custody · $444M to $627MMar 30, 2020 to Jun 9, 2020
- Discretionary RAUM · $448M to $632MMar 30, 2020 to Jun 9, 2020
Signals
5 dated events
- P•••••• P••••••• L•• reported RAUM $2.7B, up 49% from $1.8B (2025-03-14 to 2026-03-17)Mar 17, 2026 · RAUM change · derived
- P•••••• P••••••• L•• reported RAUM $1.8B, up 29% from $1.4B (2024-03-15 to 2025-03-14)Mar 14, 2025 · RAUM change · derived
- P•••••• P••••••• L•• reported RAUM $1.1B, up 25% from $911.0M (2022-10-28 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- P•••••• P••••••• L•• reported RAUM $911.0M, up 39% from $654.0M (2021-03-22 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- P•••••• P••••••• L•• reported RAUM $631.6M, up 41% from $448.2M (2020-03-30 to 2020-06-09)Jun 9, 2020 · RAUM change · derived
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 phone
- 212-904-0440reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/peconic-partners-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- P••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-904-0440reportedpublic record, Form ADV, Mar 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
- Wealth manager with institutional or fund businessderiveda 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