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.
SEC-registered adviser
P••••••••• C••••••• L••
Latest filing May 27, 2026
First filing on the tape Feb 27, 2012 · 27 filings
SEC status approved since Feb 10, 2003
RAUM
$652M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.5%
$9.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$652M as of May 27, 2026
Feb 27, 2012$532M then
HNW client RAUM$9.6M as of May 27, 2026
Mar 23, 2018$6.7M then
State-registered IARs (5.B.3)0 as of May 27, 2026
Mar 27, 20130 then
Employees (5.A)19 as of May 27, 2026
Mar 27, 201313 then
Private funds9 as of May 27, 2026
Feb 27, 20123 then
RAUM -43% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 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
- $506,579derivedHNW RAUM over HNW clients
- Average account
- $18.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -43%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 vehiclesreportedItem 5.G
- Custody
- $129M, 16 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$642M99%
- High-net-worth individuals$9.6M1.5%
- Individual clients
- n/areported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 16 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 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
13 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••••• C••••• A••• · Membercontrolsince 05/1997 · owns 75% or more
- H•••••• K••••• J•••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
Related persons
Schedule D 7.A
- L••• W•••• L••• A••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Studio City, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $1,150,706,000 to $651,828,000 (-43.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +8.0% (672 comparable advisers, 2.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 2.2% percentile
What changed
consecutive filings, newest first
- Accounts · 38 to 36Mar 27, 2026 to May 27, 2026
- Pooled vehicle clients · 19 to 17Mar 27, 2026 to May 27, 2026
- Private funds · 10 to 9Mar 27, 2026 to May 27, 2026
- Accounts · 36 to 38Jan 5, 2026 to Mar 27, 2026
- Advisory employees · 7 to 8Jan 5, 2026 to Mar 27, 2026
- HNW clients · 18 to 19Jan 5, 2026 to Mar 27, 2026
- Pooled vehicle clients · 18 to 19Jan 5, 2026 to Mar 27, 2026
- Assets in custody · $337M to $129MJan 5, 2026 to Mar 27, 2026
- Employees · 20 to 19Jan 5, 2026 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $652MJan 5, 2026 to Mar 27, 2026
- HNW RAUM · $10.5M to $9.6MJan 5, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $1.1B to $642MJan 5, 2026 to Mar 27, 2026
- RAUM · $1.2B to $652MJan 5, 2026 to Mar 27, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jul 23, 2025
- Accounts · 38 to 36Sep 30, 2024 to Mar 26, 2025
- Advisory employees · 9 to 7Sep 30, 2024 to Mar 26, 2025
- Charity clients · 1.0 to unsetSep 30, 2024 to Mar 26, 2025
- Employees · 21 to 20Sep 30, 2024 to Mar 26, 2025
- Private funds · 9 to 10Sep 30, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.9B to $1.2BSep 30, 2024 to Mar 26, 2025
- HNW RAUM · $18.4M to $10.5MSep 30, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.9B to $1.1BSep 30, 2024 to Mar 26, 2025
- RAUM · $1.9B to $1.2BSep 30, 2024 to Mar 26, 2025
- Accounts · 17 to 38Aug 15, 2023 to Mar 8, 2024
- Advisory employees · 8 to 9Aug 15, 2023 to Mar 8, 2024
- Assets in custody · $937M to $337MAug 15, 2023 to Mar 8, 2024
- Employees · 23 to 21Aug 15, 2023 to Mar 8, 2024
- Discretionary RAUM · $5.2B to $1.9BAug 15, 2023 to Mar 8, 2024
- HNW RAUM · $10.4M to $18.4MAug 15, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $5.1B to $1.9BAug 15, 2023 to Mar 8, 2024
- RAUM · $5.2B to $1.9BAug 15, 2023 to Mar 8, 2024
- Accounts · 54 to 17Nov 1, 2022 to Mar 27, 2023
- Advisory employees · 12 to 8Nov 1, 2022 to Mar 27, 2023
- Charity clients · unset to 1.0Nov 1, 2022 to Mar 27, 2023
- HNW clients · 19 to 18Nov 1, 2022 to Mar 27, 2023
- Assets in custody · $2.0B to $937MNov 1, 2022 to Mar 27, 2023
- Employees · 24 to 23Nov 1, 2022 to Mar 27, 2023
- Discretionary RAUM · $13B to $5.2BNov 1, 2022 to Mar 27, 2023
- HNW RAUM · $4.7M to $10.4MNov 1, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $13B to $5.1BNov 1, 2022 to Mar 27, 2023
Signals
12 dated events
- P••••••••• C••••••• L•• reported RAUM $651.8M, down 43% from $1.2B (2026-01-05 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- P••••••••• C••••••• L•• reported RAUM $1.2B, down 40% from $1.9B (2024-09-30 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- P Nathan Osborn (Head Of Portfolio Operations/Chief Compliance Officer) no longer on Schedule A of P••••••••• C••••••• L•• (listed 2024-03-08, absent 2024-05-29)May 29, 2024 · Control person left · inference
- Jeffrey Koert Huddle (Chief Compliance Officer) appeared on Schedule A of P••••••••• C••••••• L••May 29, 2024 · Control person joined · fact
- P••••••••• C••••••• L•• reported RAUM $1.9B, down 63% from $5.2B (2023-08-15 to 2024-03-08)Mar 8, 2024 · RAUM change · derived
- P••••••••• C••••••• L•• reported RAUM $5.2B, down 60% from $13.2B (2022-11-01 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- P Nathan Osborn (Head Of Portfolio Operations/Chief Compliance Officer) appeared on Schedule A of P••••••••• C••••••• L••Mar 27, 2023 · Control person joined · fact
- Jay Michelle Sommer (Chief Compliance Officer) no longer on Schedule A of P••••••••• C••••••• L•• (listed 2022-11-01, absent 2023-03-27)Mar 27, 2023 · Control person left · inference
- P••••••••• C••••••• L•• reported RAUM $13.2B, up 462% from $2.3B (2021-08-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Marie Heide Burroughs (Director Of Finance) no longer on Schedule A of P••••••••• C••••••• L•• (listed 2021-08-27, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- P••••••••• C••••••• L•• reported RAUM $2.3B, up 276% from $623.9M (2020-06-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Michelle Sommer (Chief Compliance Officer) appeared on Schedule A of P••••••••• C••••••• L••Mar 31, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- PROP-CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-575-9084reportedpublic record, Form ADV, May 27, 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