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•••••••• A••••••• G••••• I•••

Former SEC-registered adviserHamilton, New JerseyCRD 129108SEC 801-62702IAPD
Latest filing Oct 23, 2019
First filing on the tape Apr 2, 2012 · 22 filings
RAUM
$95.4M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$95.4M as of Mar 14, 2019
Apr 2, 2012$1.6B then
HNW client RAUM$0 as of Mar 14, 2019
Mar 8, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 14, 2019
Apr 1, 20131 then
Employees (5.A)2 as of Mar 14, 2019
Apr 1, 201311 then
Private funds1 as of Mar 24, 2017
Apr 2, 20123 then
RAUM -60% over the last fiscal year-48% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Oct 23, 2019; 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
$47.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-60%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
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$95.4M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••••• S••••• I••••• F•••• L••no longer reportedHedge Fund$14.8M32Apr 2, 2012
      P•••••••• C••••• O••••••••• F•••• L••no longer reportedHedge Fund$12.2M5Apr 2, 2012
      P•••••••• C••••• I••••• F•••• L••no longer reportedHedge Fund$1.6M4Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••• M••••• · Ceo & Ccocontrol
        since 02/2006 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P•••••••• A••••••• G••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Mar 14, 2019 to Oct 23, 2019
      • Advisory activities · 2 to 1
        Mar 14, 2019 to Oct 23, 2019
      • Employees · 2 to 1
        Mar 14, 2019 to Oct 23, 2019
      • Accounts · 8 to 2
        Mar 8, 2018 to Mar 14, 2019
      • Advisory activities · 3 to 2
        Mar 8, 2018 to Mar 14, 2019
      • Corporate clients · unset to 0.0
        Mar 8, 2018 to Mar 14, 2019
      • Pooled vehicle clients · 0 to 2
        Mar 8, 2018 to Mar 14, 2019
      • Employees · 5 to 2
        Mar 8, 2018 to Mar 14, 2019
      • Other offices · 1 to 0
        Mar 8, 2018 to Mar 14, 2019
      • Discretionary RAUM · $239M to $95.4M
        Mar 8, 2018 to Mar 14, 2019
      • Pooled vehicle RAUM · $0 to $95.4M
        Mar 8, 2018 to Mar 14, 2019
      • RAUM · $239M to $95.4M
        Mar 8, 2018 to Mar 14, 2019
      • Accounts · 11 to 8
        Oct 25, 2017 to Mar 8, 2018
      • Pooled vehicle clients · 1 to 0
        Oct 25, 2017 to Mar 8, 2018
      • HQ city · P•••••••• to HAMILTON
        Oct 25, 2017 to Mar 8, 2018
      • Discretionary RAUM · $373M to $239M
        Oct 25, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · $12.6M to $0
        Oct 25, 2017 to Mar 8, 2018
      • RAUM · $373M to $239M
        Oct 25, 2017 to Mar 8, 2018
      • Related adviser · true to false
        Oct 25, 2017 to Mar 8, 2018
      • Related broker-dealer · true to false
        Oct 25, 2017 to Mar 8, 2018
      • Advisory employees · 5 to 2
        Mar 24, 2017 to Oct 23, 2017
      • BD registered reps · 1 to 0
        Mar 24, 2017 to Oct 23, 2017
      • Charity clients · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • HNW clients · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Individual clients · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Pension plan clients · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Pooled vehicle clients · unset to 1.0
        Mar 24, 2017 to Oct 23, 2017
      • Employees · 10 to 5
        Mar 24, 2017 to Oct 23, 2017
      • Insurance-licensed employees · 1 to 0
        Mar 24, 2017 to Oct 23, 2017
      • State-registered IARs · 1 to 0
        Mar 24, 2017 to Oct 23, 2017
      • Other offices · unset to 1.0
        Mar 24, 2017 to Oct 23, 2017
      • Private funds · 1 to unset
        Mar 24, 2017 to Oct 23, 2017
      • Discretionary RAUM · $580M to $373M
        Mar 24, 2017 to Oct 23, 2017
      • HNW RAUM · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Individual RAUM · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Pension RAUM · unset to 0.0
        Mar 24, 2017 to Oct 23, 2017
      • Pooled vehicle RAUM · unset to 12580584.0
        Mar 24, 2017 to Oct 23, 2017
      • RAUM · $580M to $373M
        Mar 24, 2017 to Oct 23, 2017
      • Accounts · 13 to 11
        Dec 6, 2016 to Mar 24, 2017
      • Advisory employees · 7 to 5
        Dec 6, 2016 to Mar 24, 2017
      Signals
      4 dated events
      • A. Joy Sheehan (Vp & Chief Compliance Officer) no longer on Schedule A of P•••••••• A••••••• G••••• I••• (listed 2019-03-14, absent 2019-10-23)
        Oct 23, 2019 · Control person left · inference
      • P•••••••• A••••••• G••••• I••• reported RAUM $95.4M, down 60% from $238.5M (2018-03-08 to 2019-03-14)
        Mar 14, 2019 · RAUM change · derived
      • Edward Thomas Wojczak (President) no longer on Schedule A of P•••••••• A••••••• G••••• I••• (listed 2018-03-08, absent 2019-03-14)
        Mar 14, 2019 · Control person left · inference
      • P•••••••• A••••••• G••••• I••• reported RAUM $238.5M, down 36% from $373.5M (2017-10-25 to 2018-03-08)
        Mar 8, 2018 · 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