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•••••••• M••••••••• L••
Latest filing Aug 17, 2012
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$53.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$53.0M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$8.9M gross assets
History
5 filings and snapshots on the tape
RAUM$53.0M as of Aug 17, 2012
Mar 29, 2012$52.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2012
Mar 29, 20120 then
Employees (5.A): no history
Private funds1 as of Aug 17, 2012
Mar 29, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 17, 2012; every figure names its basis
- RAUM per advisor
- $53.0MderivedRAUM 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
- $7.6MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, 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)
- has custody of client securities (9.A.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
- 7reported
- Financial planning clients
- 0reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• D•• C•••• | Ogden, Ut | Mar 14, 2012 | 41 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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•••••••• P•••••• E••••• P•••••••• L• | Private Equity Fund | $8.9M | 3 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••••• D•• · Managing Membercontrolsince 01/2003 · owns 50% to 75%
- L•••••••• M••••••• S•••• · Partner / Portfolio Managersince 01/2008 · owns 25% to 50%
- W••••• T•••••• W•••••• · Partner/ Portfolio Manager / Chief Compliance Officersince 02/2010 · owns 5% to 10%
Related persons
Schedule D 7.A
- J•••••• D• C••••insurancey
- P•••••••• M••••••••• L••bankcustodianyRAUM $53.0M
- P•••••••• M••••••••• L••pooled vehicle sponsorcustodianyRAUM $53.0M
Advisers that list P•••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 7Mar 29, 2012 to Mar 30, 2012
- Discretionary RAUM · $52.7M to $53.0MMar 29, 2012 to Mar 30, 2012
- RAUM · $52.7M to $53.0MMar 29, 2012 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P•••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P••••••••.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026