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•••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 108861SEC 801-57562IAPD
Legal name P•••• C•••
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$184M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$184M gross assets
History
23 filings and snapshots on the tape
RAUM$184M as of Mar 30, 2021
Mar 30, 2012$10B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 28, 20130 then
Employees (5.A)2 as of Mar 30, 2021
Mar 28, 201396 then
Private funds2 as of Mar 30, 2021
Mar 30, 20128 then
RAUM -54% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$92.0MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%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 pooled vehiclesreportedItem 5.G
Custody
$184M, 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)
  • 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$184M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$184M for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• C•••• M•••••• L•••no longer reportedHedge Fund$248M39Mar 30, 2012
      P•••• P••••••• I••••••••• M•••••• I•••Hedge Fund$122M162Mar 30, 2012
      P•••• G•• M••••• F•••• L•••no longer reportedHedge Fund$80.0M3Mar 30, 2012
      P•••• P••••••• L•••Hedge Fund$61.6M436Mar 30, 2012
      P• W••••••• F•••• L•no longer reportedHedge Fund$55.6M2Feb 20, 2014
      A••••••• R••••• I••••• M••••• F••• L•••no longer reportedHedge Fund$48.8M4Oct 31, 2013
      P• V•••• P••••••• T•••••• I• L•••no longer reportedHedge Fund$29.3M1Mar 30, 2012
      P•••• P•••••• O••••••••• F••• L•Hedge Fund$18.5M4Mar 30, 2012
      P•••• R••• E••••• F••• I• L•no longer reportedReal Estate Fund$7.2M41Mar 30, 2012
      P•••• P•••••• O••••••••• O••••••• F••• L•Hedge Fund$3.6M6Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• R••••••• C•••• · Sole Director, President, Chief Executive Officer, Chief Compliance Officercontrol
        since 09/1988 · owns 75% or more
      Related persons
      Schedule D 7.A
      • P•••• I••••••••• A••••••••• L••
        investment adviserpooled vehicle sponsory
      • P•• M••••• M••••••• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Jan 20, 2021 to Mar 30, 2021
      • Advisory employees · 2 to 1
        Jan 20, 2021 to Mar 30, 2021
      • Pooled vehicle clients · 4 to 2
        Jan 20, 2021 to Mar 30, 2021
      • Assets in custody · $396M to $184M
        Jan 20, 2021 to Mar 30, 2021
      • Employees · 3 to 2
        Jan 20, 2021 to Mar 30, 2021
      • Private funds · 4 to 2
        Jan 20, 2021 to Mar 30, 2021
      • Discretionary RAUM · $396M to $184M
        Jan 20, 2021 to Mar 30, 2021
      • Pooled vehicle RAUM · $396M to $184M
        Jan 20, 2021 to Mar 30, 2021
      • RAUM · $396M to $184M
        Jan 20, 2021 to Mar 30, 2021
      • Assets in custody · $552M to $396M
        Mar 29, 2019 to Mar 27, 2020
      • Discretionary RAUM · $552M to $396M
        Mar 29, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $552M to $396M
        Mar 29, 2019 to Mar 27, 2020
      • RAUM · $552M to $396M
        Mar 29, 2019 to Mar 27, 2020
      • Related bank · true to false
        Mar 29, 2019 to Mar 27, 2020
      • Advisory employees · 5 to 2
        Jan 9, 2019 to Mar 29, 2019
      • Assets in custody · $1.1B to $552M
        Jan 9, 2019 to Mar 29, 2019
      • Employees · 13 to 3
        Jan 9, 2019 to Mar 29, 2019
      • Discretionary RAUM · $1.1B to $552M
        Jan 9, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.1B to $552M
        Jan 9, 2019 to Mar 29, 2019
      • RAUM · $1.1B to $552M
        Jan 9, 2019 to Mar 29, 2019
      • Advisory employees · 9 to 5
        Sep 11, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 4.0
        Sep 11, 2017 to Mar 28, 2018
      • Assets in custody · $2.6B to $1.1B
        Sep 11, 2017 to Mar 28, 2018
      • Employees · 21 to 13
        Sep 11, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Sep 11, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.6B to $1.1B
        Sep 11, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1077923134.0
        Sep 11, 2017 to Mar 28, 2018
      • RAUM · $2.6B to $1.1B
        Sep 11, 2017 to Mar 28, 2018
      • Accounts · 6 to 4
        Dec 16, 2016 to Mar 30, 2017
      • Advisory employees · 26 to 9
        Dec 16, 2016 to Mar 30, 2017
      • Assets in custody · $8.3B to $2.6B
        Dec 16, 2016 to Mar 30, 2017
      • Employees · 77 to 21
        Dec 16, 2016 to Mar 30, 2017
      • Private funds · 6 to 4
        Dec 16, 2016 to Mar 30, 2017
      • Discretionary RAUM · $8.3B to $2.6B
        Dec 16, 2016 to Mar 30, 2017
      • RAUM · $8.3B to $2.6B
        Dec 16, 2016 to Mar 30, 2017
      • Advisory employees · 32 to 26
        Sep 16, 2015 to Mar 17, 2016
      • Assets in custody · $12B to $8.3B
        Sep 16, 2015 to Mar 17, 2016
      • Employees · 96 to 77
        Sep 16, 2015 to Mar 17, 2016
      • Discretionary RAUM · $12B to $8.3B
        Sep 16, 2015 to Mar 17, 2016
      • RAUM · $12B to $8.3B
        Sep 16, 2015 to Mar 17, 2016
      Signals
      4 dated events
      • P•••• C•••••• reported RAUM $184.0M, down 54% from $396.2M (2021-01-20 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • P•••• C•••••• reported RAUM $396.2M, down 28% from $551.7M (2019-03-29 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • P•••• C•••••• reported RAUM $551.7M, down 49% from $1.1B (2019-01-09 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • P•••• C•••••• reported RAUM $1.1B, down 59% from $2.6B (2017-09-11 to 2018-03-28)
        Mar 28, 2018 · 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.
      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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      P•••• C•••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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