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•••••• A••••••• L••

Former SEC-registered adviserRichmond, VirginiaCRD 109247SEC 801-55696IAPD

Latest filing May 12, 2020

First filing on the tape Mar 30, 2012 · 34 filings

RAUM

$5.2B

reported, Item 5.F

Discretionary

82%

of RAUM

Private clients

0.2%

$10.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

37 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$4.3B gross assets

History

34 filings and snapshots on the tape

RAUM$5.2B as of Mar 30, 2020

Mar 30, 2012$3.6B then

HNW client RAUM$10.2M as of Mar 30, 2020

Mar 28, 2018$44.1M then

State-registered IARs (5.B.3)1 as of Mar 30, 2020

Mar 28, 20130 then

Employees (5.A)69 as of Mar 30, 2020

Mar 28, 201375 then

Private funds29 as of Mar 30, 2020

Mar 30, 201220 then

RAUM +11% over the last fiscal year+3.3% a year over threeIARs 1 to 1

Practice profile

derived from the filing of May 12, 2020; every figure names its basis

RAUM per advisor: $5.2BderivedRAUM 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: $116MderivedRAUM over accounts (5.F.2.f)
Discretionary: 82%derivedof RAUM
Institutional: 8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 69.0derivedItem 5.A over advisors
Advisors per office: 0.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody: $3.7B, 37 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$4.3B83%
Other investment advisers$412M7.9%
Insurance companies$378M7.3%
Charitable organizations$71.7M1.4%
High-net-worth individuals$10.2M0.2%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 45reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $3.7B for 37 clientsreported
Compensation: % of AUM, fixed, 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

B•••••• C• T•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 1, 2016 · Other

Joined, latest

B•••••• B•••••• from A•••• P•••••••• L•••
Apr 1, 2019 · Other
B•••••• C• T•••• from M•• F•••••••• S•••••••• I•••
Nov 13, 2012 · Other

Every departure Every arrival

Private funds

18 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P•••••• A••••••• S•••• C•••••• B••••• F••• I•• L•no longer reported	Private Equity Fund	$76.3M	76	Mar 30, 2012
T•• H••••• S••••••••• M••••• F•••no longer reported	Hedge Fund	$45.4M	35	Mar 30, 2012
P•••••• A••••••• P•••••• E••••• F•••• L•no longer reported	Private Equity Fund	$33.3M	67	Mar 30, 2012
P•••••• A••••••• S••••• V•••• M••••• F•••• L•••no longer reported	Hedge Fund	$19.4M	92	Mar 30, 2012
T•• H••••• S••••••••• F••• L••no longer reported	Hedge Fund	$14.6M	5	Sep 16, 2013
P•••••• A••••••• C••••••••• F•••• L•no longer reported	Private Equity Fund	$14.4M	65	Mar 30, 2012
P•••••• A••••••• S••••• V•••• E•••• F•••• L••no longer reported	Hedge Fund	$14.1M	37	Mar 30, 2012
C••••••• C•••••• P••••••• I•• L•no longer reported	Private Equity Fund	$8.0M	23	Feb 14, 2012
A••••••••• F••• L•• L••no longer reported	Hedge Fund	$5.2M	116	Mar 30, 2012
C••••••• C•••••• P••••••• I• L•••no longer reported	Private Equity Fund	$5.1M	4	Feb 14, 2012
P•••••• A••••••• D••••••••• O••••••••• F•••• L•no longer reported	Hedge Fund	$4.2M	61	Mar 30, 2012
P•••••• A••••••• A••••••••• A•••• F••• L••no longer reported	Hedge Fund	$3.6M	64	Mar 30, 2012
C••••••• C•••••• P••••••• I• L•no longer reported	Private Equity Fund	$3.3M	8	Feb 14, 2012
P•••••• A••••••• S•••• C•••••• B••••• F•••• L•no longer reported	Private Equity Fund	$3.0M	40	Mar 30, 2012
P•••••• A••••••• A••••••••• S•••• C•••••• B••••• F•••• L•no longer reported	Private Equity Fund	$3.0M	2	Mar 30, 2012
A••••••••• F••• L• I•• L••no longer reported	Hedge Fund	$2.3M	31	Mar 30, 2012
T•• H••••• S••••••••• F••• •••• L•••no longer reported	Hedge Fund	$1.3M	20	Mar 30, 2012
P•••••• A••••••• I••••• F••• L•no longer reported	Hedge Fund	$850,000	9	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

H••••••••• T•••••• M••• · Elected M••••••control
since 12/2010 · owns less than 5%
H•••••• T•••••• A•••••••• · Elected M••••••control
since 01/2013 · owns less than 5%
H•••• Y•••••••• N•• · Elected M••••••, Chairman Of The Board Of M••••••Scontrol
since 12/2010 · owns less than 5%
M••••••••• L••••• W•••••• · Chairman, Cio, Member, Elected M••••••, & President Of W••••••••• Partners Inc.control
since 12/2012 · owns 5% to 10%
M••••••••• L••••• W•••••• · Ceo, Member, Elected M•••••• & Trustee Of L•••• W• M••••••••• I•• G•• T••••control
since 12/2012 · owns 10% to 25%
R••••••••• K••••• S•••••• · Chief Compliance Officercontrol
since 07/2015 · owns less than 5%
S•••••••• C••••••••• R••• · President, Elected M••••••, Membercontrol
since 12/2010 · owns less than 5%
T•••••• C••••••••• W•••• · Elected M••••••control
since 05/2020 · owns less than 5%
H•••••••• C••••••••• M••• · Ownercontrol
since 10/2012 · owns 50% to 75% of C••••••• C•••••• P•••••••• L••
M••••••••• L••••• W•••••• · Trusteecontrol
since 09/2010 · owns F of L•••• W• M••••••••• I•• G•• T••••
M••••••••• L••••• W•••••• · Owner 100%control
since 01/2017 · owns 75% or more of L•• E••••• P•••••••• L••
S••••••• B•••• A••• · Ownercontrol
since 10/2012 · owns 50% to 75% of C••••••• C•••••• P•••••••• L••
B••••• L••••• E••••• · Member
since 07/2011 · owns less than 5%
C••••••••• G••••••• N•• · Member, Chief Operating Officer
since 04/2009 · owns less than 5%
H•••••••• C••••••••• M••• · Member
since 10/2012 · owns less than 5%
H••••••••• G•••••• S•••••• · Member
since 11/2011 · owns less than 5%
H•••••• S••••• N••••• · Member
since 01/2016 · owns less than 5%
H••••• C••••••• H••••• G•••••• · Member
since 01/2007 · owns less than 5%
M•••••• C••••••••• G••••• · Member
since 12/2010 · owns less than 5%
M•••••••• D••••• J••••• · Member
since 07/2013 · owns less than 5%
M••••••••• Z••••••• C••• · Member
since 07/2014 · owns less than 5%
M•••••••• T•••• A•••• · Member
since 01/2010 · owns less than 5%
R•••• D•••••• K••• T••••••• · Member
since 12/2010 · owns less than 5%
R•••• W••••••• J••• · Member
since 01/2013 · owns less than 5%
S••••••• B•••• A••• · Member
since 10/2012 · owns less than 5%
M••••••••• C••••• B••••• · Trustee
since 01/2012 · owns F of L•••• W• M••••••••• I•• G•• T••••
M••••••••• C••••• B••••• · Trustee
since 01/2011 · owns F of L•••• M••••• M•••••••• G•• T••••

Entity owners

N•• Y••• L••• I••••••••• A••••••••• L•• · Member
direct · owns 50% to 75%
N•• Y••• L••• I•••••••• C•••••• · Owner 100%
indirect · owns 75% or more of N•• Y••• L••• I••••••••• M••••••••• H••••••• L••
N•• Y••• L••• I••••••••• M••••••••• H••••••• L•• · Owner 100%
indirect · owns 75% or more of N•• Y••• L••• I••••••••• A••••••••• L••
C••••••• C•••••• P•••••••• L•• · Member
direct · owns less than 5%
L•• E••••• P•••••••• L•• · Member
direct · owns 10% to 25%
W••••••••• P•••••••• I••• · Member
direct · owns less than 5%
L•••• M••••• M•••••••• G•• T•••• · Owner 33%
indirect · owns 25% to 50% of W••••••••• P•••••••• I•••
L•••• W• M••••••••• I•• G•• T•••• · Owner 67%
indirect · owns 50% to 75% of W••••••••• P•••••••• I•••

Related persons

Schedule D 7.A

A••••• I••••••••• M••••••••• L••••••
investment adviserbankpooled vehicle sponsornRAUM $14B
B•• P••• G•• L••
pooled vehicle sponsory
C••••••• B•••••• S•••
investment adviserbankpooled vehicle sponsornRAUM $123B
C••••••• F••••• S•••••
investment adviserbankpooled vehicle sponsornRAUM $35B
C••••••• S.C.A.
investment adviserbankpooled vehicle sponsornRAUM $155B
C••••••• C•••••• E••••••• B••••• P••••••• M••••••••• G•••• L••
pooled vehicle sponsory
C••••••• C•••••• P••••••• I• M••••••••• G•••• L••
pooled vehicle sponsory
E•••• S••••••••• L••
investment advisernRAUM $32B
G•••••••• P••••••• L••
investment advisernRAUM $14B
I•••••• A••••••• L••
investment adviserbanknRAUM $10B
M••••• S•••••• L••
investment adviserbanknRAUM $160B
M•••••• C•••••• F•••••• L••
investment advisernRAUM $3.7B
N•• Y••• L••• E••••••••• L••
real estaten
N•• Y••• L••• I•••••••• A•• A•••••• C•••••••••
bankreal estaten
N•• Y••• L••• I•••••••• C••••••
bankreal estaten
N•• Y••• L••• I••••••••• M••••••••• A••• L••••••
investment advisern
N•• Y••• L••• I••••••••• M••••••••• H••• K••• L••••••
broker-dealern
N•• Y••• L••• I••••••••• M••••••••• L••
investment advisernRAUM $121B
Apogem Capital LLC
investment advisernRAUM $44B
N•• Y••• L••• T•••• C••••••
bankpooled vehicle sponsorn
N•• I•••••••• L••
investment adviserbankpooled vehicle sponsornRAUM $329B
N••••• D••••••••• L••
broker-dealern
N••••• I•••••••• C•••••• O• A••••••
real estaten
N••••• S••••••••• L••
broker-dealerreal estaten
N••••• I•••••••• A••••• I•••
real estaten
P• C••••• P•••••• C••••• L••
pooled vehicle sponsory
P• E••••••• M•••••• C•••• I•• L••
pooled vehicle sponsory
P• E••••••• M•••••• C••••• L••
pooled vehicle sponsory
P• R••• A••••• C•••• I•• L••
pooled vehicle sponsory
P• R••• A••••• C••••• L••
pooled vehicle sponsory

Advisers that list P•••••• A••••••• L•• as a related person

Offices

Schedule D 1.F, the 25 largest

New Y•••, NY7 employees
Cleveland, OH4 employees
Austin, TX4 employees
Chicago, IL2 employees

What changed

consecutive filings, newest first

Accounts · 47 to 45
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 34 to 37
Mar 29, 2019 to Mar 30, 2020
HNW clients · 5.0 to unset
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle clients · 39 to 41
Mar 29, 2019 to Mar 30, 2020
Employees · 67 to 69
Mar 29, 2019 to Mar 30, 2020
Financial planning clients · 0 to unset
Mar 29, 2019 to Mar 30, 2020
Private funds · 27 to 29
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $3.7B to $4.3B
Mar 29, 2019 to Mar 30, 2020
HNW RAUM · $94.9M to $10.2M
Mar 29, 2019 to Mar 30, 2020
Non-discretionary RAUM · $1.0B to $935M
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $3.8B to $4.3B
Mar 29, 2019 to Mar 30, 2020
RAUM · $4.7B to $5.2B
Mar 29, 2019 to Mar 30, 2020
Accounts · 48 to 47
Mar 28, 2018 to Mar 29, 2019
BD registered reps · 28 to 25
Mar 28, 2018 to Mar 29, 2019
HNW clients · unset to 5.0
Mar 28, 2018 to Mar 29, 2019
Pooled vehicle clients · 36 to 39
Mar 28, 2018 to Mar 29, 2019
Assets in custody · $3.2B to $3.7B
Mar 28, 2018 to Mar 29, 2019
Employees · 65 to 67
Mar 28, 2018 to Mar 29, 2019
Other offices · 3 to 4
Mar 28, 2018 to Mar 29, 2019
Private funds · 26 to 27
Mar 28, 2018 to Mar 29, 2019
Discretionary RAUM · $3.2B to $3.7B
Mar 28, 2018 to Mar 29, 2019
HNW RAUM · $44.1M to $94.9M
Mar 28, 2018 to Mar 29, 2019
Non-discretionary RAUM · $1.4B to $1.0B
Mar 28, 2018 to Mar 29, 2019
Pension RAUM · 578170.0 to unset
Mar 28, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $3.2B to $3.8B
Mar 28, 2018 to Mar 29, 2019
RAUM · $4.6B to $4.7B
Mar 28, 2018 to Mar 29, 2019
Accounts · 47 to 48
Sep 29, 2017 to Mar 28, 2018
Advisory employees · 33 to 34
Sep 29, 2017 to Mar 28, 2018
Advisory activities · 4 to 5
Sep 29, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 36.0
Sep 29, 2017 to Mar 28, 2018
Assets in custody · $3.2B to $3.2B
Sep 29, 2017 to Mar 28, 2018
Employees · 69 to 65
Sep 29, 2017 to Mar 28, 2018
Financial planning clients · unset to 0
Sep 29, 2017 to Mar 28, 2018
Other offices · unset to 3.0
Sep 29, 2017 to Mar 28, 2018
Private funds · 25 to 26
Sep 29, 2017 to Mar 28, 2018
Discretionary RAUM · $3.2B to $3.2B
Sep 29, 2017 to Mar 28, 2018
HNW RAUM · unset to 44068618.0
Sep 29, 2017 to Mar 28, 2018
Non-discretionary RAUM · $1.5B to $1.4B
Sep 29, 2017 to Mar 28, 2018
Pension RAUM · unset to 578170.0
Sep 29, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 3221908610.0
Sep 29, 2017 to Mar 28, 2018

Signals

2 dated events

W•••• C••••••••• T••••• (Elected Manager) appeared on Schedule A of P•••••• A••••••• L••
May 11, 2020 · Control person joined · fact
Sydney George Shively (Elected Manager, Secretary Of The Board Of Managers) no longer on Schedule A of P•••••• A••••••• L•• (listed 2018-03-28, absent 2019-03-29)
Mar 29, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

P•••••• A••••••• L•• · Private Equity
shared crd · organization

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