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•••••••••

Former SEC-registered adviserAustin, TexasCRD 110735SEC 801-46437IAPD
Legal name P•••••••• C•••••• M••••••••• L•
Latest filing Mar 15, 2021
First filing on the tape Apr 13, 2012 · 11 filings
RAUM
$7.1B
reported, Item 5.F
Discretionary
0.0%
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$7.1B as of Mar 15, 2021
Apr 13, 2012$5.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 15, 2021
Mar 4, 20142 then
Employees (5.A)4 as of Mar 15, 2021
Mar 4, 20144 then
Private funds: no history
RAUM +2.3% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 15, 2021; every figure names its basis
RAUM per advisor
$1.8BderivedRAUM 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
$138MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.3%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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, publications, educational seminars, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$7.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
51reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••••••• L••••• T•••••• · President And Chief Compliance Officer (Owns All Partnership Sharescontrol
    since 04/1994 · owns 25% to 50%
Entity owners
  • P•••••••• • A••••••••• I•• · General Partner
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Non-discretionary RAUM · $6.9B to $7.1B
    Feb 10, 2020 to Mar 15, 2021
  • RAUM · $6.9B to $7.1B
    Feb 10, 2020 to Mar 15, 2021
  • Accounts · 45 to 51
    Jan 3, 2019 to Feb 10, 2020
  • Advisory employees · 3 to 4
    Jan 3, 2019 to Feb 10, 2020
  • State-registered IARs · 3 to 4
    Jan 3, 2019 to Feb 10, 2020
  • Other offices · 1 to 0
    Jan 3, 2019 to Feb 10, 2020
  • Non-discretionary RAUM · $5.5B to $6.9B
    Jan 3, 2019 to Feb 10, 2020
  • RAUM · $5.5B to $6.9B
    Jan 3, 2019 to Feb 10, 2020
  • Accounts · 43 to 45
    Jan 17, 2018 to Jan 3, 2019
  • Non-discretionary RAUM · $4.4B to $5.5B
    Jan 17, 2018 to Jan 3, 2019
  • RAUM · $4.4B to $5.5B
    Jan 17, 2018 to Jan 3, 2019
  • Accounts · 46 to 43
    Mar 8, 2017 to Jan 17, 2018
  • Advisory activities · 3 to 4
    Mar 8, 2017 to Jan 17, 2018
  • Other offices · unset to 1.0
    Mar 8, 2017 to Jan 17, 2018
  • Non-discretionary RAUM · $5.3B to $4.4B
    Mar 8, 2017 to Jan 17, 2018
  • RAUM · $5.3B to $4.4B
    Mar 8, 2017 to Jan 17, 2018
  • Accounts · 47 to 46
    Apr 29, 2016 to Mar 8, 2017
  • Advisory activities · 2 to 3
    Apr 29, 2016 to Mar 8, 2017
  • Insurance-licensed employees · 3 to 0
    Apr 29, 2016 to Mar 8, 2017
  • Non-discretionary RAUM · $5.2B to $5.3B
    Apr 29, 2016 to Mar 8, 2017
  • RAUM · $5.2B to $5.3B
    Apr 29, 2016 to Mar 8, 2017
  • Accounts · 43 to 47
    Feb 2, 2015 to Apr 29, 2016
  • Non-discretionary RAUM · $5.0B to $5.2B
    Feb 2, 2015 to Apr 29, 2016
  • RAUM · $5.0B to $5.2B
    Feb 2, 2015 to Apr 29, 2016
  • Accounts · 40 to 43
    Mar 4, 2014 to Feb 2, 2015
  • Insurance-licensed employees · 2 to 3
    Mar 4, 2014 to Feb 2, 2015
  • State-registered IARs · 2 to 3
    Mar 4, 2014 to Feb 2, 2015
  • Accounts · 37 to 40
    Jul 26, 2013 to Mar 4, 2014
  • Advisory employees · 2 to 3
    Jul 26, 2013 to Mar 4, 2014
  • Discretionary RAUM · $30.9M to $0
    Jul 26, 2013 to Mar 4, 2014
  • Non-discretionary RAUM · $5.2B to $5.0B
    Jul 26, 2013 to Mar 4, 2014
  • RAUM · $5.2B to $5.0B
    Jul 26, 2013 to Mar 4, 2014
  • Advisory employees · unset to 2.0
    Apr 19, 2012 to Jul 26, 2013
  • Employees · unset to 4.0
    Apr 19, 2012 to Jul 26, 2013
  • State-registered IARs · unset to 2.0
    Apr 19, 2012 to Jul 26, 2013
Signals
1 dated events
  • P•••••••• • A••••••••• reported RAUM $6.9B, up 26% from $5.5B (2019-01-03 to 2020-02-10)
    Feb 10, 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.
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