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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Former SEC-registered adviser

P••••••••• I••••••••• M••••••••• L•

Former SEC-registered adviserP•••••••••, Rhode IslandCRD 129848SEC 801-73845IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$3.1B
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
20
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.1B gross assets
History
10 filings and snapshots on the tape
RAUM$3.1B as of Mar 30, 2017
Mar 28, 2013$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)20 as of Mar 30, 2017
Mar 28, 201323 then
Private funds1 as of Mar 30, 2017
Mar 28, 20133 then
RAUM +90% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$771MderivedRAUM 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
+90%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 pooled vehiclesreportedItem 5.G
Custody
$897M, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$897M for 4 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    6 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••••••• M•• M••••• F•••• L••Hedge Fund$3.1B102Feb 14, 2012
    P••••••••• M•• F•••• L••no longer reportedHedge Fund$500M44Feb 14, 2012
    P••••••••• M•• F•••• L•no longer reportedHedge Fund$414M94Feb 14, 2012
    P••••••••• S•••••• S••••••••• F•••• L••no longer reportedHedge Fund$83.0M8Mar 31, 2014
    P••••••••• S•••••• S••••••••• M••••• F•••• L••no longer reportedHedge Fund$83.0M1Mar 31, 2014
    P••••••••• I•••••••• F••• S••••• O• T•• S••• M•••• S••••• F•••no longer reportedHedge Fund$27.0M2Feb 14, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• R••••••• J••••• · Managing Membercontrol
      since 11/2003 · owns 75% or more
    • G••••••• F•••••• · Chief Compliance Officer
      since 02/2010 · owns less than 5%
    • J••••••• R•••••••• M••• · Chief Financial Officer
      since 01/2004 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $1.6B to $3.1B
      Mar 30, 2016 to Mar 30, 2017
    • RAUM · $1.6B to $3.1B
      Mar 30, 2016 to Mar 30, 2017
    • Assets in custody · $913M to $897M
      Jan 11, 2016 to Mar 30, 2016
    • Employees · 21 to 20
      Jan 11, 2016 to Mar 30, 2016
    • Private funds · 3 to 1
      Jan 11, 2016 to Mar 30, 2016
    • Discretionary RAUM · $2.3B to $1.6B
      Jan 11, 2016 to Mar 30, 2016
    • RAUM · $2.3B to $1.6B
      Jan 11, 2016 to Mar 30, 2016
    • Business name · P••••••••• I••••••••• M••••••••• L•• to P••••••••• I••••••••• M••••••••• L•
      Mar 27, 2015 to Jan 11, 2016
    • Accounts · 6 to 4
      Feb 5, 2015 to Mar 27, 2015
    • Advisory employees · 12 to 10
      Feb 5, 2015 to Mar 27, 2015
    • Assets in custody · $1.7B to $913M
      Feb 5, 2015 to Mar 27, 2015
    • Employees · 24 to 21
      Feb 5, 2015 to Mar 27, 2015
    • Legal name · P••••••••• I••••••••• M••••••••• L•• to P••••••••• I••••••••• M••••••••• L•
      Feb 5, 2015 to Mar 27, 2015
    • Private funds · 5 to 3
      Feb 5, 2015 to Mar 27, 2015
    • Discretionary RAUM · $6.3B to $2.3B
      Feb 5, 2015 to Mar 27, 2015
    • RAUM · $6.3B to $2.3B
      Feb 5, 2015 to Mar 27, 2015
    • Succession · true to false
      Feb 5, 2015 to Mar 27, 2015
    • Organization form · Limited Liability Company to Limited Partnership
      Mar 31, 2014 to Feb 5, 2015
    • Succession · false to true
      Mar 31, 2014 to Feb 5, 2015
    • Accounts · 4 to 6
      Jun 19, 2013 to Mar 31, 2014
    • Advisory employees · 11 to 12
      Jun 19, 2013 to Mar 31, 2014
    • Assets in custody · $1.4B to $1.7B
      Jun 19, 2013 to Mar 31, 2014
    • Employees · 23 to 24
      Jun 19, 2013 to Mar 31, 2014
    • Private funds · 3 to 5
      Jun 19, 2013 to Mar 31, 2014
    • Discretionary RAUM · $12B to $6.3B
      Jun 19, 2013 to Mar 31, 2014
    • RAUM · $12B to $6.3B
      Jun 19, 2013 to Mar 31, 2014
    • Advisory employees · unset to 11.0
      Feb 14, 2012 to Mar 28, 2013
    • Assets in custody · unset to 1410081745.0
      Feb 14, 2012 to Mar 28, 2013
    • Custody of client assets · false to true
      Feb 14, 2012 to Mar 28, 2013
    • Employees · unset to 23.0
      Feb 14, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 0.0
      Feb 14, 2012 to Mar 28, 2013
    • Private funds · 4 to 3
      Feb 14, 2012 to Mar 28, 2013
    • Discretionary RAUM · $1.5B to $12B
      Feb 14, 2012 to Mar 28, 2013
    • RAUM · $1.5B to $12B
      Feb 14, 2012 to Mar 28, 2013
    Signals
    1 dated events
    • P••••••••• I••••••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 5, 2015 · Succession (Item 4) · fact
    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