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Former SEC-registered adviser

P•••••• C•••••••• G•••• L••

Former SEC-registered adviserCRD 110416SEC 801-20706IAPD
Latest filing Mar 31, 2015
First filing on the tape Feb 10, 2012 · 4 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$16.7M as of Mar 27, 2014
Feb 10, 2012$28.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
May 3, 20130 then
Employees (5.A)1 as of Mar 31, 2015
May 3, 20131 then
Private funds2 as of Mar 27, 2014
Feb 10, 20122 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• Y••• S•••• R••••••••• C••••••••• F•••• L•••Private Equity Fund$12.2M2Feb 10, 2012
      P•••••• M••••• F•••• L•••Private Equity Fund$4.4M69Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• C••••••••• J•••• · Chief Executive Officer, Chief Compliance Officer, Managing Directorcontrol
        since 04/2001 · owns less than 5%
      • B••••• C••••••••• J•••• · Shareholdercontrol
        since 02/1988 · owns 75% or more of P•••••• C•••••••• G•••• H•••••••• I•••
      Entity owners
      • P•••••• C•••••••• G•••• H•••••••• L•• · Member
        direct · owns 75% or more
      • P•••••• C•••••••• G•••• H•••••••• I••• · Member
        indirect · owns 25% to 50% of P•••••• C•••••••• G•••• H••••••• LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3.0 to unset
        Mar 27, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Mar 27, 2014 to Mar 31, 2015
      • Assets in custody · 10093937.0 to unset
        Mar 27, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Mar 27, 2014 to Mar 31, 2015
      • Private funds · 2 to unset
        Mar 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · 16722205.0 to unset
        Mar 27, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · 16722205.0 to unset
        Mar 27, 2014 to Mar 31, 2015
      • Assets in custody · $33.5M to $10.1M
        May 3, 2013 to Mar 27, 2014
      • Discretionary RAUM · $33.5M to $16.7M
        May 3, 2013 to Mar 27, 2014
      • RAUM · $33.5M to $16.7M
        May 3, 2013 to Mar 27, 2014
      • Advisory employees · unset to 1.0
        Feb 10, 2012 to May 3, 2013
      • Advisory activities · 4 to 2
        Feb 10, 2012 to May 3, 2013
      • Assets in custody · $21.3M to $33.5M
        Feb 10, 2012 to May 3, 2013
      • Employees · unset to 1.0
        Feb 10, 2012 to May 3, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to May 3, 2013
      • Discretionary RAUM · $28.0M to $33.5M
        Feb 10, 2012 to May 3, 2013
      • RAUM · $28.0M to $33.5M
        Feb 10, 2012 to May 3, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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