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•••• K•••••••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 27 filings
SEC status approved since Jan 3, 2006
RAUM
$466M
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
19%
$89.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$466M as of Mar 31, 2026
Mar 28, 2012$956M then
HNW client RAUM$89.6M as of Mar 31, 2026
Mar 20, 2018$86.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 5, 20130 then
Employees (5.A)7 as of Mar 31, 2026
Mar 5, 20139 then
Private funds11 as of Mar 31, 2026
Mar 28, 20127 then
RAUM -1.3% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%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
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- 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, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$272M58%
- Corporations and businesses$105M23%
- High-net-worth individuals$89.6M19%
- Individual clients
- 0reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 52reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.19 fund_share=0.58 institutional_share=0.0 related_bd=false related_bank=true 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
37 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• N••••••• •••• K•••• L•••••• A•• 5••••• | Hedge Fund | $106M | 18 | Mar 20, 2018 |
| P• D••••••••• V••••••• L••no longer reported | Hedge Fund | $51.5M | 37 | Mar 28, 2012 |
| P• F••••• V••••••• L••no longer reported | Hedge Fund | $19.3M | 8 | Mar 28, 2012 |
| K• D••••••••• V••••••• L•• | Hedge Fund | $17.6M | 2 | Mar 28, 2012 |
| P• D••••••••• V••••••• L• • R••• S•••••• | Hedge Fund | $11.0M | 21 | Mar 24, 2016 |
| P• D••••••••• V••••••• L• • P••••••• I• | Private Equity Fund | $6.9M | 11 | Mar 20, 2018 |
| P• D••••••••• V••••••• L•• • Z• U••••••no longer reported | Hedge Fund | $5.5M | 18 | Mar 24, 2016 |
| P• D••••••••• V••••••• L• • P•••• | Private Equity Fund | $5.1M | 10 | Mar 27, 2019 |
| P• D••••••••• V••••••• L•• • T•••• E••no longer reported | Hedge Fund | $3.6M | 15 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • B•• P•••no longer reported | Hedge Fund | $3.4M | 13 | Mar 24, 2016 |
| P• D••••••••• V••••••• L• • O••••• | Hedge Fund | $2.6M | 7 | Mar 24, 2020 |
| P• D••••••••• V••••••• L•• • B••no longer reported | Private Equity Fund | $2.3M | 6 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • A••••••• | Private Equity Fund | $2.2M | 3 | Mar 24, 2020 |
| P• D••••••••• V••••••• L• • P•••••• | Private Equity Fund | $2.1M | 12 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • H••••••• E•••••••no longer reported | Hedge Fund | $1.8M | 8 | Mar 24, 2016 |
| P• D••••••••• V••••••• L• ••••••••• | Private Equity Fund | $1.5M | 2 | Mar 24, 2020 |
| P• D••••••••• V••••••• L• • B••••••• | Hedge Fund | $1.2M | 7 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • V• G••••• | Hedge Fund | $1.2M | 5 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • S••••••no longer reported | Hedge Fund | $1.0M | 4 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • P•••••• E•••••••no longer reported | Hedge Fund | $1.0M | 17 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • W••••••• M•no longer reported | Hedge Fund | $982,720 | 2 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • H•••••• H•••no longer reported | Hedge Fund | $981,594 | 2 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• ••••• | Hedge Fund | $958,000 | 14 | Mar 24, 2020 |
| W•• V••••••• L••no longer reported | Private Equity Fund | $738,000 | 9 | Mar 28, 2012 |
| P• A•••• V••••••• L••no longer reported | Private Equity Fund | $629,000 | 15 | Mar 28, 2012 |
| P• D••••••••• V••••••• L•• •••••••• | Private Equity Fund | $505,000 | 6 | Mar 24, 2020 |
| P• D••••••••• V••••••• L•• • P••••••• I•• | Private Equity Fund | $497,000 | 8 | Mar 24, 2016 |
| D•• D••••••••• V••••••• L••no longer reported | Hedge Fund | $222,000 | 10 | Mar 28, 2012 |
| P• D••••••••• V••••••• L•• • C•• | Private Equity Fund | $132,000 | 3 | Mar 24, 2020 |
| H•• V••••••• L••no longer reported | Private Equity Fund | $131,000 | 17 | Mar 28, 2012 |
| P• D••••••••• V••••••• L•• ••••••••• | Private Equity Fund | $121,000 | 6 | Mar 24, 2020 |
| P• D••••••••• V••••••• L• ••••••••• | Other Private Fund | $82,000 | 11 | Mar 24, 2020 |
| P• D••••••••• V••••••• L•• • P•• | Private Equity Fund | $55,000 | 7 | Mar 24, 2016 |
| P• D••••••••• V••••••• L•• • G••no longer reported | Hedge Fund | $43,000 | 14 | Mar 24, 2016 |
| C••••••••• P••• M••••••••• F••• | Hedge Fund | $36,000 | 1 | Mar 20, 2018 |
| P• D••••••••• V••••••• L•• •••• | Private Equity Fund | $18,000 | 2 | Mar 24, 2020 |
| P• D••••••••• V••••••• L•• ••••• | Private Equity Fund | $7,200 | 6 | Mar 24, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• P•••• · General Partnercontrolsince 07/2022 · owns 50% to 75%
- L•••••• G••••••• S•••• · General Counsel & Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
- H••••••••• E•••••• K•••••• · L•••••• Partnersince 09/2022 · owns 10% to 25%
- K••••••••• E•••••• E••••• · L•••••• Partnersince 09/2022 · owns 10% to 25%
- K••••••••• P••••• D••••• · L•••••• Partnersince 09/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
- G•••••• S•••• L•••••y
- P•••• K••••••••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 31, 2026RAUM per account of $8,966,769 against a peer median of $1,946,969 (54 comparable advisers, 98.0th percentile, 4.2 robust deviations)peers: other advisers, $100M to $500M (54) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 55 to 52May 15, 2025 to Mar 31, 2026
- HNW clients · 11 to 12May 15, 2025 to Mar 31, 2026
- Pooled vehicle clients · 42 to 38May 15, 2025 to Mar 31, 2026
- Private funds · 16 to 11May 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $232M to $232MMay 15, 2025 to Mar 31, 2026
- HNW RAUM · $89.4M to $89.6MMay 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $241M to $234MMay 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $243M to $272MMay 15, 2025 to Mar 31, 2026
- RAUM · $472M to $466MMay 15, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to May 15, 2025
- Accounts · 63 to 55Mar 28, 2024 to Mar 28, 2025
- Charity clients · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 3 to 2Mar 28, 2024 to Mar 28, 2025
- HNW clients · 16 to 11Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 37 to 42Mar 28, 2024 to Mar 28, 2025
- Private funds · 19 to 16Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $250M to $232MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $98.9M to $89.4MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $239M to $241MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $238M to $243MMar 28, 2024 to Mar 28, 2025
- RAUM · $489M to $472MMar 28, 2024 to Mar 28, 2025
- Accounts · 57 to 63Mar 31, 2023 to Mar 28, 2024
- Employees · 8 to 7Mar 31, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Mar 31, 2023 to Mar 28, 2024
- Private funds · 21 to 19Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $275M to $250MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $98.4M to $98.9MMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $258M to $239MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $250M to $238MMar 31, 2023 to Mar 28, 2024
- RAUM · $533M to $489MMar 31, 2023 to Mar 28, 2024
- Accounts · 64 to 57Oct 20, 2022 to Mar 31, 2023
- HNW clients · 22 to 16Oct 20, 2022 to Mar 31, 2023
- Pooled vehicle clients · 38 to 37Oct 20, 2022 to Mar 31, 2023
- Private funds · 22 to 21Oct 20, 2022 to Mar 31, 2023
- Discretionary RAUM · $281M to $275MOct 20, 2022 to Mar 31, 2023
- HNW RAUM · $143M to $98.4MOct 20, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $358M to $258MOct 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $321M to $250MOct 20, 2022 to Mar 31, 2023
- RAUM · $640M to $533MOct 20, 2022 to Mar 31, 2023
- Succession · true to falseOct 20, 2022 to Mar 31, 2023
Signals
2 dated events
- P•••• K•••••••• A•••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 20, 2022 · Succession (Item 4) · fact
- Scott Gregory Levine (General Counsel & Chief Compliance Officer) appeared on Schedule A of P•••• K•••••••• A•••• M••••••••• L•Oct 28, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P•••• K•••••••• A•••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- P•••• K•••••••• A•••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-223-7373reportedpublic record, Form ADV, Mar 31, 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