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••••••••• P•••••••• L••
Latest filing Jun 18, 2025
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Jul 11, 2005
RAUM
$812M
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
14
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$812M as of Jun 18, 2025
Mar 29, 2012$2.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2025
Mar 29, 20120 then
Employees (5.A)14 as of Jun 18, 2025
Apr 2, 201323 then
Private funds4 as of Jun 18, 2025
Mar 29, 20126 then
RAUM +13% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2025; 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
- $116MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%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
- +13%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$503M62%
- Investment companies$202M25%
- Insurance companies$68.0M8.4%
- State and municipal entities$39.1M4.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• P••••••• F•••• L••• | Hedge Fund | $346M | 35 | Mar 29, 2012 |
| P••••••••• P••••••• S•••• C•• F•••• L••• | Hedge Fund | $65.9M | 21 | Mar 29, 2012 |
| P••••••••• O••••••• F••• ••••••••• L•••no longer reported | Hedge Fund | $41.4M | 1 | Mar 29, 2012 |
| P••••••••• T••••• F•••• L••• | Hedge Fund | $39.0M | 12 | Mar 29, 2012 |
| P••••••••• S••••• F•••• L••• | Other Private Fund | $10.2M | 4 | Mar 29, 2012 |
| P••••••••• P••••••• C••••••••• F•••• L•no longer reported | Private Equity Fund | $7,000 | 7 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• J•••• D••••• · Managing Membercontrolsince 04/1997 · owns 50% to 75%
- K•••• J••••• A• · Portfolio Managercontrolsince 05/2013 · owns less than 5%
- L••••• S•••••• R•••• · Portfolio Managercontrolsince 07/2020 · owns less than 5%
- O•••••• K••••• R•••••• · Portfolio Managercontrolsince 04/2003 · owns 25% to 50%
- P•••••••• P••••• N••••••• · Chief Financial Officer, Chief Compliance Officercontrolsince 06/1997 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••••• P••••••• A•••• M••••••••• L••investment adviseryRAUM $307M
Advisers that list P••••••••• P•••••••• L•• as a related person
- 143013 y
Offices
Schedule D 1.F, the 25 largest
- Longboat Key, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 6, 2025 to Jun 18, 2025
- Financial planning clients · 0 to 0Mar 6, 2025 to Jun 18, 2025
- Discretionary RAUM · $716M to $812MMar 21, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $461M to $503MMar 21, 2024 to Mar 6, 2025
- RAUM · $716M to $812MMar 21, 2024 to Mar 6, 2025
- Employees · 13 to 14Apr 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $689M to $716MApr 24, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $475M to $461MApr 24, 2023 to Mar 21, 2024
- RAUM · $689M to $716MApr 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $672M to $689MMar 22, 2023 to Apr 24, 2023
- Pooled vehicle RAUM · $458M to $475MMar 22, 2023 to Apr 24, 2023
- RAUM · $672M to $689MMar 22, 2023 to Apr 24, 2023
- Discretionary RAUM · $714M to $672MMay 26, 2022 to Mar 22, 2023
- Pooled vehicle RAUM · $491M to $458MMay 26, 2022 to Mar 22, 2023
- RAUM · $714M to $672MMay 26, 2022 to Mar 22, 2023
- Accounts · 9 to 7Mar 10, 2022 to Mar 30, 2022
- Pooled vehicle clients · 6 to 4Mar 10, 2022 to Mar 30, 2022
- Employees · 14 to 13Mar 10, 2022 to Mar 30, 2022
- Other offices · 0 to 2Mar 10, 2022 to Mar 30, 2022
- Private funds · 5 to 4Mar 10, 2022 to Mar 30, 2022
- Discretionary RAUM · $780M to $714MMar 10, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $593M to $491MMar 10, 2022 to Mar 30, 2022
- RAUM · $780M to $714MMar 10, 2022 to Mar 30, 2022
- Pooled vehicle clients · 7 to 6Mar 30, 2020 to Mar 31, 2021
- Private funds · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $784M to $780MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $653M to $593MMar 30, 2020 to Mar 31, 2021
- RAUM · $784M to $780MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $805M to $784MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $703M to $653MMar 29, 2019 to Mar 30, 2020
- RAUM · $805M to $784MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $796M to $805MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $723M to $703MMar 28, 2018 to Mar 29, 2019
- RAUM · $796M to $805MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 7.0Mar 30, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 28, 2018
- Discretionary RAUM · $765M to $796MMar 30, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 722853000.0Mar 30, 2017 to Mar 28, 2018
- RAUM · $765M to $796MMar 30, 2017 to Mar 28, 2018
- Assets in custody · 21170862.0 to unsetMar 30, 2016 to Mar 30, 2017
Signals
3 dated events
- P••••••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $811.7M)Apr 1, 2026 · Left the SEC roster · derived
- S Kim Just (Chief Compliance Officer) no longer on Schedule A of P••••••••• P•••••••• L•• (listed 2022-03-30, absent 2022-05-26)May 26, 2022 · Control person left · inference
- Roger Steven Labbe (Portfolio Manager) appeared on Schedule A of P••••••••• P•••••••• L••Mar 31, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• P•••••••• L•• · Private Equityshared 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