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••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 20 filings
SEC status approved since Aug 11, 2004
RAUM
$648M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.3%
$14.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$648M as of Mar 30, 2026
Mar 28, 2012$752M then
HNW client RAUM$14.6M as of Mar 30, 2026
Mar 28, 2018$10.1M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)9 as of Mar 30, 2026
Mar 21, 20139 then
Private funds1 as of Mar 30, 2026
Mar 28, 20121 then
RAUM -11% over the last fiscal year+1.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $648MderivedRAUM 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
- $34.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $40.5M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$186M45%
- Charitable organizations$123M30%
- Pooled investment vehicles$40.5M9.9%
- State and municipal entities$33.4M8.1%
- High-net-worth individuals$14.6M3.6%
- Pension and profit-sharing plans$13.6M3.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 19reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.4M managedreported
- Custody of client assets
- $40.5M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.02 fund_share=0.35 institutional_share=0.26 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• C•••••• C••••••••• S•••• C•• G••••• F••• I••••••••• T•••• | Other Private Fund | $31.6M | 11 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••• E••• · Chairmancontrolsince 07/2016 · owns 10% to 25%
- Y••••••••• A•••••••• · President, Chief Investment Officercontrolsince 07/2015 · owns 10% to 25%
- H••••••• F•••••••• R••••••• · National Account Representative, Membersince 04/2016 · owns 10% to 25%
- H•••••••• J•••• A••••• · Senior Equity Analyst, Membersince 11/2015 · owns 10% to 25%
- H••• H••••••• · Senior Equity Analyst, Membersince 11/2015 · owns 10% to 25%
- M•••••••• D••••• · Equity Analyst, Membersince 11/2015 · owns 5% to 10%
- M•••••• K•••••••• · Chief Compliance Officersince 03/2013 · owns less than 5%
- W•••••• N••••••• A•••••• · Equity Trader, Membersince 07/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Jersey City, NJ5 employees
What changed
consecutive filings, newest first
- Accounts · 21 to 19Mar 31, 2025 to Mar 30, 2026
- HNW clients · 5.0 to unsetMar 31, 2025 to Mar 30, 2026
- Assets in custody · $36.3M to $40.5MMar 31, 2025 to Mar 30, 2026
- Employees · 11 to 9Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $729M to $648MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $16.9M to $14.6MMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $15.5M to $13.6MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $36.3M to $40.5MMar 31, 2025 to Mar 30, 2026
- RAUM · $729M to $648MMar 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $1.3M to $1.4MMar 31, 2025 to Mar 30, 2026
- Assets in custody · $31.6M to $36.3MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $720M to $729MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $15.0M to $16.9MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $27.2M to $15.5MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $31.6M to $36.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $720M to $729MMar 29, 2024 to Mar 31, 2025
- Wrap assets (manager) · $1.2M to $1.3MMar 29, 2024 to Mar 31, 2025
- Accounts · 20 to 21May 3, 2023 to Mar 29, 2024
- HNW clients · unset to 5.0May 3, 2023 to Mar 29, 2024
- Assets in custody · $25.5M to $31.6MMay 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $628M to $720MMay 3, 2023 to Mar 29, 2024
- HNW RAUM · $12.4M to $15.0MMay 3, 2023 to Mar 29, 2024
- Pension RAUM · $35.5M to $27.2MMay 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $25.5M to $31.6MMay 3, 2023 to Mar 29, 2024
- RAUM · $628M to $720MMay 3, 2023 to Mar 29, 2024
- Wrap assets (manager) · $1.1M to $1.2MMay 3, 2023 to Mar 29, 2024
- Accounts · 19 to 20Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $38.9M to $25.5MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $963M to $628MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $18.5M to $12.4MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $52.0M to $35.5MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $38.9M to $25.5MMar 30, 2022 to Mar 31, 2023
- RAUM · $963M to $628MMar 30, 2022 to Mar 31, 2023
- Wrap assets (manager) · $1.5M to $1.1MMar 30, 2022 to Mar 31, 2023
- Assets in custody · $38.1M to $38.9MMar 31, 2021 to Mar 30, 2022
- Employees · 9 to 11Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $961M to $963MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $19.2M to $18.5MMar 31, 2021 to Mar 30, 2022
- Pension RAUM · $93.5M to $52.0MMar 31, 2021 to Mar 30, 2022
Signals
2 dated events
- P••• C••••••• L•• reported RAUM $628.4M, down 35% from $962.5M (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- P••• C••••••• L•• reported RAUM $961.4M, up 53% from $628.1M (2020-06-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pier-capital-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-425-1450reportedpublic record, Form ADV, Mar 30, 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
- Other 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