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•••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Dec 5, 2000
RAUM
$696M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$696M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
6
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$696M as of Mar 27, 2026
Mar 30, 2012$984M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 4, 20130 then
Employees (5.A)10 as of Mar 27, 2026
Feb 4, 201314 then
Private funds6 as of Mar 27, 2026
Mar 30, 201213 then
RAUM +4.3% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $696MderivedRAUM 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
- $53.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%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
- 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)
- 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$696M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• Y•••••••• L•• | Palo Alto, Ca | Jun 3, 2022 | 19 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• A••• H••••••••• M••••• F••• I•• L••• | Hedge Fund | $532M | 120 | Mar 30, 2012 |
| P••• A••• H••••••••• M••••• F•••• L••• | Hedge Fund | $279M | 60 | Mar 30, 2012 |
| L•••••••• L•no longer reported | Hedge Fund | $203M | 30 | Feb 26, 2015 |
| P••• A••• A••••••• L••• S••••••• M••••• F•••• L••• | Hedge Fund | $156M | 70 | Mar 30, 2012 |
| M•••• C•• P•••••••• L••• | Hedge Fund | $70.8M | 40 | Mar 30, 2012 |
| P••• A••• K•••• F•••• L••• | Hedge Fund | $15.0M | 10 | Mar 30, 2012 |
| P••• A••• E••••• M••••• F•••• L•••no longer reported | Hedge Fund | $13.0M | 25 | Mar 30, 2012 |
| P••• A••• F••• I•• L•••no longer reported | Hedge Fund | $6.0M | 60 | Mar 30, 2012 |
| P••• A••• P• F•••• L••• | Hedge Fund | $5.0M | 2 | May 15, 2015 |
| P••• A••• M•••• C•• L••••••••• F•••• L•••no longer reported | Hedge Fund | $2.9M | 60 | Apr 11, 2014 |
| P••• A••• S•••• C•• M••••• F•••• L•••no longer reported | Hedge Fund | $2.3M | 75 | Mar 30, 2012 |
| P••• A••• G••••• E••••• L••••••••• F•••• L•••no longer reported | Hedge Fund | $1.4M | 86 | Mar 30, 2012 |
| P••• A••• S•• I• L•••no longer reported | Hedge Fund | $744,256 | 4 | Mar 30, 2012 |
| U••• F•••• L•••no longer reported | Hedge Fund | $635,809 | 7 | Mar 30, 2012 |
| P••• A••• T••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $593,694 | 32 | Mar 30, 2012 |
| P••• A••• C•••••••• F•••• L•••no longer reported | Hedge Fund | $150,000 | 40 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N••••••••• A•••••• E•••••••• · Chief Compliance Officercontrolsince 04/2016 · owns less than 5%
- L••• P••••••• Y•••••••• · Managercontrolsince 03/2018 · owns F of P••• A••• I•••••••• G• L••
- Y••• A••••••• J••••••• · Managercontrolsince 03/2018 · owns F of P••• A••• I•••••••• G• L••
- L••• P••••••• Y•••••••• · Trustee Of P•••••• Y• L•• D••••••••• O• T••••since 03/2018 · owns less than 5%
- Y••• A••••••• J••••••• · Trustee Of Y•••••••• F••••• T••••since 03/2018 · owns less than 5%
- L••• P••••••• Y•••••••• · Trusteesince 03/2018 · owns F of P•••••• Y• L•• D••••••••• O• T••••
- Y••• A••••••• J••••••• · Trusteesince 03/2018 · owns F of Y•••••••• F••••• T••••
Entity owners
- P••• A••• I•••••••• G• L•• · General Partnerdirect · owns less than 5%
- P•••••• Y• L•• D••••••••• O• T•••• · Limited Partnerdirect · owns 50% to 75%
- Y•••••••• F••••• T•••• · Limited Partnerdirect · owns 50% to 75%
- P•••••• Y• L•• D••••••••• O• T•••• · Memberindirect · owns 50% to 75% of P••• A••• I•••••••• G• L••
- Y•••••••• F••••• T•••• · Memberindirect · owns 50% to 75% of P••• A••• I•••••••• G• L••
Related persons
Schedule D 7.A
- P•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 13Mar 31, 2025 to Mar 27, 2026
- Advisory employees · 5 to 4Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle clients · 12 to 13Mar 31, 2025 to Mar 27, 2026
- Employees · 12 to 10Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $667M to $696MMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $667M to $696MMar 31, 2025 to Mar 27, 2026
- RAUM · $667M to $696MMar 31, 2025 to Mar 27, 2026
- Employees · 13 to 12Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $667MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.1B to $667MMar 28, 2024 to Mar 31, 2025
- RAUM · $1.1B to $667MMar 28, 2024 to Mar 31, 2025
- Related bank · true to falseMar 28, 2024 to Mar 31, 2025
- Employees · 12 to 13Jun 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.1BJun 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $1.1BJun 2, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.1BJun 2, 2023 to Mar 28, 2024
- Employees · 11 to 12May 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.6B to $1.3BMay 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.6B to $1.3BMay 11, 2022 to Mar 31, 2023
- RAUM · $1.6B to $1.3BMay 11, 2022 to Mar 31, 2023
- Employees · 12 to 11Apr 28, 2021 to Mar 31, 2022
- Other offices · 0 to 2Apr 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.1B to $1.6BApr 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.1B to $1.6BApr 28, 2021 to Mar 31, 2022
- RAUM · $2.1B to $1.6BApr 28, 2021 to Mar 31, 2022
- Related bank · false to trueApr 28, 2021 to Mar 31, 2022
- Accounts · 14 to 12Mar 30, 2020 to Mar 24, 2021
- Pooled vehicle clients · 14 to 12Mar 30, 2020 to Mar 24, 2021
- Employees · 11 to 12Mar 30, 2020 to Mar 24, 2021
- Private funds · 7 to 6Mar 30, 2020 to Mar 24, 2021
- Discretionary RAUM · $1.9B to $2.1BMar 30, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $1.9B to $2.1BMar 30, 2020 to Mar 24, 2021
- RAUM · $1.9B to $2.1BMar 30, 2020 to Mar 24, 2021
- Employees · 12 to 11May 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $2.0B to $1.9BMay 1, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $2.0B to $1.9BMay 1, 2019 to Mar 30, 2020
- RAUM · $2.0B to $1.9BMay 1, 2019 to Mar 30, 2020
- Business name · P••• A••• I••••••••• L•• to P••• A••• I•••••••• L•Mar 31, 2018 to Mar 27, 2019
- Employees · 13 to 12Mar 31, 2018 to Mar 27, 2019
Signals
3 dated events
- P••• A••• I•••••••• L• reported RAUM $667.0M, down 37% from $1.1B (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P••• A••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 31, 2018 · Succession (Item 4) · fact
- P••• A••• I•••••••• L• reported RAUM $2.5B, up 27% from $1.9B (2017-03-17 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••• A••• I•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-325-0772reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $696Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026