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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P••••• I••••••••• C•

Former SEC-registered adviserBrentwood, TennesseeCRD 110917SEC 801-30773IAPD
Legal name P••••• I••••••••• C••
Latest filing Feb 6, 2023
First filing on the tape Mar 15, 2012 · 22 filings
RAUM
$1.3B
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
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.3B as of Feb 6, 2023
Mar 15, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 6, 2023
Mar 15, 20120 then
Employees (5.A)4 as of Feb 6, 2023
Feb 21, 20135 then
Private funds: no history
RAUM -19% over the last fiscal year-7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 6, 2023; 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
$31.0MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-19%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • 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
  • Corporations and businesses$1.3B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
41reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• B••••• A••••••• · Chief Compliance Officer, President And Ceocontrol
        since 06/2015 · owns 10% to 25%
      • H•••••••• D••••• A••••• · Managing Directorcontrol
        since 01/2007 · owns 5% to 10%
      • P••••• C••••••••• T••••• · Shareholdercontrol
        since 02/1996 · owns 25% to 50%
      • A•••••••• D••••• L••• · Shareholder
        since 06/2015 · owns 10% to 25%
      • H•••• J•••••• R• · Shareholder
        since 12/2009 · owns 5% to 10%
      • S•••••• T•••••••• B•••• · Shareholder
        since 01/1996 · owns 10% to 25%
      • T••••••••• J•••• A••••• · Shareholder
        since 01/1996 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • D•••• H•••••••
        y
      • T••••••• S•••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      • Crete, IL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 44 to 41
        Mar 31, 2022 to Feb 6, 2023
      • Corporate clients · 29 to 27
        Mar 31, 2022 to Feb 6, 2023
      • Discretionary RAUM · $1.6B to $1.3B
        Mar 31, 2022 to Feb 6, 2023
      • RAUM · $1.6B to $1.3B
        Mar 31, 2022 to Feb 6, 2023
      • Advisory employees · 3 to 4
        Jan 24, 2022 to Mar 31, 2022
      • Employees · 3 to 4
        Jan 24, 2022 to Mar 31, 2022
      • Accounts · 53 to 44
        Mar 22, 2021 to Jan 24, 2022
      • Advisory employees · 2 to 3
        Mar 22, 2021 to Jan 24, 2022
      • Corporate clients · 32 to 29
        Mar 22, 2021 to Jan 24, 2022
      • Discretionary RAUM · $1.6B to $1.6B
        Mar 22, 2021 to Jan 24, 2022
      • Non-discretionary RAUM · $5.5M to $0
        Mar 22, 2021 to Jan 24, 2022
      • RAUM · $1.6B to $1.6B
        Mar 22, 2021 to Jan 24, 2022
      • Accounts · 54 to 53
        Feb 20, 2020 to Feb 11, 2021
      • Advisory activities · 2 to 1
        Feb 20, 2020 to Feb 11, 2021
      • Corporate clients · 33 to 32
        Feb 20, 2020 to Feb 11, 2021
      • Pooled vehicle clients · 1.0 to unset
        Feb 20, 2020 to Feb 11, 2021
      • Assets in custody · 109039490.0 to unset
        Feb 20, 2020 to Feb 11, 2021
      • Discretionary RAUM · $1.4B to $1.6B
        Feb 20, 2020 to Feb 11, 2021
      • Non-discretionary RAUM · $151M to $5.5M
        Feb 20, 2020 to Feb 11, 2021
      • Pooled vehicle RAUM · 109039490.0 to unset
        Feb 20, 2020 to Feb 11, 2021
      • RAUM · $1.6B to $1.6B
        Feb 20, 2020 to Feb 11, 2021
      • Accounts · 59 to 54
        Jan 7, 2020 to Feb 20, 2020
      • Assets in custody · $66.4M to $109M
        Jan 7, 2020 to Feb 20, 2020
      • Employees · 5 to 3
        Jan 7, 2020 to Feb 20, 2020
      • Other offices · 3 to 2
        Jan 7, 2020 to Feb 20, 2020
      • Discretionary RAUM · $1.8B to $1.4B
        Jan 7, 2020 to Feb 20, 2020
      • Non-discretionary RAUM · $187M to $151M
        Jan 7, 2020 to Feb 20, 2020
      • Pooled vehicle RAUM · $66.4M to $109M
        Jan 7, 2020 to Feb 20, 2020
      • RAUM · $2.0B to $1.6B
        Jan 7, 2020 to Feb 20, 2020
      • Accounts · 71 to 59
        Mar 6, 2018 to Mar 14, 2019
      • Corporate clients · 35 to 33
        Mar 6, 2018 to Mar 14, 2019
      • Assets in custody · $174M to $66.4M
        Mar 6, 2018 to Mar 14, 2019
      • Discretionary RAUM · $1.4B to $1.8B
        Mar 6, 2018 to Mar 14, 2019
      • Non-discretionary RAUM · $73.9M to $187M
        Mar 6, 2018 to Mar 14, 2019
      • Pooled vehicle RAUM · $174M to $66.4M
        Mar 6, 2018 to Mar 14, 2019
      • RAUM · $1.5B to $2.0B
        Mar 6, 2018 to Mar 14, 2019
      • Custody of client assets · true to false
        Mar 5, 2018 to Mar 6, 2018
      • Legal name · P••••• I••••••••• C• to P••••• I••••••••• C••
        Mar 5, 2018 to Mar 6, 2018
      • Accounts · 38 to 71
        Sep 21, 2017 to Mar 5, 2018
      • Advisory activities · 1 to 2
        Sep 21, 2017 to Mar 5, 2018
      Signals
      1 dated events
      • P••••• I••••••••• C• reported RAUM $2.0B, up 33% from $1.5B (2018-03-06 to 2019-03-14)
        Mar 14, 2019 · 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