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•••••• M••••••••• L•••
Latest filing Aug 21, 2026
First filing on the tape Mar 13, 2012 · 25 filings
SEC status approved since Mar 31, 2004
RAUM
$6.6B
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
143
44 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$6.6B as of Aug 21, 2026
Mar 13, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 21, 2026
Mar 13, 20120 then
Employees (5.A)143 as of Aug 21, 2026
Apr 1, 201335 then
Private funds: no history
RAUM -8.2% over the last fiscal year-5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 21, 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
- $1.7BderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.2%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 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
- 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$14.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=9.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• F•••••• · Ceocontrolsince 03/2004 · owns 75% or more
- B•••••••• P•••••••• L••• · Deputy Compliance Officersince 03/2018 · owns less than 5%
- W•••••••• R••••••• L••••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• S••••• S•••••• I••••• M••••••••• L••investment adviseryRAUM $479M
Advisers that list P••••••• C•••••• M••••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY35 employees
- Darien, CT5 employees
What changed
consecutive filings, newest first
- Advisory employees · 61 to 44Mar 27, 2025 to Mar 25, 2026
- BD registered reps · 7 to 9Mar 27, 2025 to Mar 25, 2026
- Employees · 155 to 143Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $7.2B to $6.6BMar 27, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $14.6M to $14.1MMar 27, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $14.6M to $14.1MMar 27, 2025 to Mar 25, 2026
- RAUM · $7.2B to $6.6BMar 27, 2025 to Mar 25, 2026
- Advisory employees · 50 to 61Jun 14, 2024 to Mar 27, 2025
- BD registered reps · 5 to 7Jun 14, 2024 to Mar 27, 2025
- Employees · 124 to 155Jun 14, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Jun 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $7.8B to $7.2BJun 14, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $15.0M to $14.6MJun 14, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $15.0M to $14.6MJun 14, 2024 to Mar 27, 2025
- RAUM · $7.8B to $7.2BJun 14, 2024 to Mar 27, 2025
- Accounts · 2 to 4Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 53 to 50Mar 28, 2023 to Mar 26, 2024
- Advisory activities · 1 to 2Mar 28, 2023 to Mar 26, 2024
- BD registered reps · 4 to 5Mar 28, 2023 to Mar 26, 2024
- Pooled vehicle clients · 0 to 2Mar 28, 2023 to Mar 26, 2024
- Employees · 105 to 124Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $7.9B to $7.8BMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $15.0MMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · unset to 15000000.0Mar 28, 2023 to Mar 26, 2024
- RAUM · $7.9B to $7.8BMar 28, 2023 to Mar 26, 2024
- Advisory employees · 47 to 53Mar 25, 2022 to Mar 28, 2023
- BD registered reps · 0 to 4Mar 25, 2022 to Mar 28, 2023
- Employees · 97 to 105Mar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $7.1B to $7.9BMar 25, 2022 to Mar 28, 2023
- RAUM · $7.1B to $7.9BMar 25, 2022 to Mar 28, 2023
- Accounts · 1 to 2Mar 29, 2021 to Mar 25, 2022
- Advisory employees · 41 to 47Mar 29, 2021 to Mar 25, 2022
- Employees · 96 to 97Mar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $5.7B to $7.1BMar 29, 2021 to Mar 25, 2022
- RAUM · $5.7B to $7.1BMar 29, 2021 to Mar 25, 2022
- Employees · 103 to 96Mar 27, 2020 to Mar 29, 2021
- Advisory employees · 49 to 41Mar 27, 2020 to Mar 29, 2021
- HQ city · NEW YORK to WEST PALM BEACHMar 27, 2020 to Mar 29, 2021
- HQ state · NY to FLMar 27, 2020 to Mar 29, 2021
- Other offices · 0 to 2Mar 27, 2020 to Mar 29, 2021
Signals
1 dated events
- P••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 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.
How to reach
public business contact points only, each with its source
- Website
- P•••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-285-4044reportedpublic record, Form ADV, Aug 21, 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