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•• C•••••• A•••••••
Legal name P•• C•••••• A•••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Dec 15, 2000
RAUM
$126M
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
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$126M as of Mar 26, 2026
Mar 28, 2012$330M then
HNW client RAUM$0 as of Mar 26, 2025
Mar 29, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Apr 1, 20130 then
Employees (5.A)10 as of Mar 26, 2026
Apr 1, 201311 then
Private funds3 as of Mar 26, 2026
Mar 28, 20127 then
RAUM +1.6% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; 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
- $31.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.8%derivedpensions, 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
- +1.6%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $126M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$122M96%
- Insurance companies$4.7M3.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $126M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• M••••••••• F•••• L••• | Hedge Fund | $42.7M | 69 | Mar 28, 2012 |
| P•• D••••••••• M••••••• F•••• L••• | Hedge Fund | $34.3M | 46 | Mar 28, 2012 |
| P•• B••••••• F•••• L••• | Hedge Fund | $32.6M | 50 | Mar 28, 2012 |
| P•• M••••••••• F••• I•• L•••no longer reported | Hedge Fund | $15.3M | 31 | Mar 28, 2012 |
| P•• S••••• S••••••• F•••• L•••no longer reported | Hedge Fund | $14.6M | 32 | Mar 28, 2012 |
| P•• D••••••••• I•••••••• F•••• L•••no longer reported | Hedge Fund | $8.2M | 2 | Mar 28, 2012 |
| P•• D••••••••• M••••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $7.8M | 11 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• D••••• E••••• · President/Secretarycontrolsince 03/1991 · owns 50% to 75%
- K••••••• J•••• A••••• · Directorcontrolsince 07/2014 · owns less than 5%
- P•••••• A••••••• C••••••••• · Vice President/Treasurercontrolsince 03/1991 · owns 50% to 75%
- Z••••••••• D••••• M•••••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
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 · 6 to 4Mar 26, 2025 to Mar 26, 2026
- Advisory activities · 1 to 2Mar 26, 2025 to Mar 26, 2026
- Assets in custody · $124M to $126MMar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $124M to $126MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · 0.0 to unsetMar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $120M to $122MMar 26, 2025 to Mar 26, 2026
- RAUM · $124M to $126MMar 26, 2025 to Mar 26, 2026
- Accounts · 4 to 6Nov 27, 2024 to Mar 26, 2025
- HNW clients · 0.0 to unsetNov 27, 2024 to Mar 26, 2025
- Assets in custody · $110M to $124MNov 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Nov 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $114M to $124MNov 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $110M to $120MNov 27, 2024 to Mar 26, 2025
- RAUM · $114M to $124MNov 27, 2024 to Mar 26, 2025
- Related bank · true to falseNov 27, 2024 to Mar 26, 2025
- Accounts · 5 to 4Mar 29, 2023 to Mar 26, 2024
- Advisory activities · 2 to 1Mar 29, 2023 to Mar 26, 2024
- HNW clients · 1 to 0Mar 29, 2023 to Mar 26, 2024
- Assets in custody · $115M to $110MMar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $115M to $114MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $111M to $110MMar 29, 2023 to Mar 26, 2024
- RAUM · $115M to $114MMar 29, 2023 to Mar 26, 2024
- Accounts · 4 to 5Mar 30, 2022 to Mar 29, 2023
- HNW clients · unset to 1.0Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $174M to $115MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $174M to $115MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · unset to 0.0Mar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $169M to $111MMar 30, 2022 to Mar 29, 2023
- RAUM · $174M to $115MMar 30, 2022 to Mar 29, 2023
- Assets in custody · $193M to $174MMar 22, 2021 to Mar 30, 2022
- Discretionary RAUM · $193M to $174MMar 22, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $189M to $169MMar 22, 2021 to Mar 30, 2022
- RAUM · $193M to $174MMar 22, 2021 to Mar 30, 2022
- Assets in custody · $157M to $193MMar 30, 2020 to Mar 22, 2021
- Discretionary RAUM · $157M to $193MMar 30, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $153M to $189MMar 30, 2020 to Mar 22, 2021
- RAUM · $157M to $193MMar 30, 2020 to Mar 22, 2021
- Accounts · 7 to 4Mar 25, 2019 to Mar 30, 2020
- Pooled vehicle clients · 6 to 3Mar 25, 2019 to Mar 30, 2020
- Assets in custody · $159M to $157MMar 25, 2019 to Mar 30, 2020
Signals
1 dated events
- Andrew Jack Ketover (Director) appeared on Schedule A of P•• C•••••• A•••••••Mar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-764-6455reportedpublic record, Form ADV, Mar 26, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026