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•••• S•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 134172SEC 801-64043IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$382M
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
10
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$450M gross assets
History
11 filings and snapshots on the tape
RAUM$382M as of Mar 30, 2020
Mar 29, 2012$961M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 26, 20130 then
Employees (5.A)10 as of Mar 30, 2020
Mar 26, 201310 then
Private funds2 as of Mar 30, 2020
Mar 29, 20123 then
RAUM -15% over the last fiscal year-2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$191MderivedRAUM 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
-15%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, fixed fees, subscription, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$382M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••• F•••••• X••• L•••no longer reportedOther Private Fund$363M32Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• M••• F•••••• · Managing Director And Treasurercontrol
        since 06/2005 · owns less than 5%
      • D••••• J•••••••• J•• · Senior Managing Principalcontrol
        since 06/2005 · owns less than 5%
      • H•••••• C••••••••• S•••••• · Managing Director, Secretary And Ccocontrol
        since 12/2008 · owns less than 5%
      Entity owners
      • P•••• S•••••• C•••••••• · Parent
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list P•••• S•••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · S•••••• O•••••• A•••••••• L••• to P•••• S•••••• A••••••• L••
        Jan 30, 2020 to Mar 30, 2020
      • Legal name · S•••••• O•••••• A•••••••• L••• to P•••• S•••••• A••••••• L••
        Jan 30, 2020 to Mar 30, 2020
      • Discretionary RAUM · $450M to $382M
        Jan 30, 2020 to Mar 30, 2020
      • HNW RAUM · unset to 0.0
        Jan 30, 2020 to Mar 30, 2020
      • Individual RAUM · unset to 0.0
        Jan 30, 2020 to Mar 30, 2020
      • Pension RAUM · unset to 0.0
        Jan 30, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $450M to $382M
        Jan 30, 2020 to Mar 30, 2020
      • RAUM · $450M to $382M
        Jan 30, 2020 to Mar 30, 2020
      • Succession · true to false
        Jan 30, 2020 to Mar 30, 2020
      • Advisory activities · 5 to 2
        Apr 10, 2019 to Jan 30, 2020
      • Organization form · Limited Partnership to Limited Liability Company
        Apr 10, 2019 to Jan 30, 2020
      • Related adviser · false to true
        Apr 10, 2019 to Jan 30, 2020
      • Related bank · false to true
        Apr 10, 2019 to Jan 30, 2020
      • Succession · false to true
        Apr 10, 2019 to Jan 30, 2020
      • Discretionary RAUM · $418M to $450M
        Jun 7, 2018 to Apr 10, 2019
      • Pooled vehicle RAUM · $418M to $450M
        Jun 7, 2018 to Apr 10, 2019
      • RAUM · $418M to $450M
        Jun 7, 2018 to Apr 10, 2019
      • Advisory activities · 4 to 5
        Mar 29, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 417500000.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $421M to $418M
        Mar 23, 2016 to Mar 29, 2017
      • RAUM · $421M to $418M
        Mar 23, 2016 to Mar 29, 2017
      • Accounts · 3 to 2
        Mar 25, 2015 to Mar 23, 2016
      • Private funds · 3 to 2
        Mar 25, 2015 to Mar 23, 2016
      • Discretionary RAUM · $865M to $421M
        Mar 25, 2015 to Mar 23, 2016
      • RAUM · $865M to $421M
        Mar 25, 2015 to Mar 23, 2016
      • Discretionary RAUM · $878M to $865M
        Mar 28, 2014 to Mar 25, 2015
      • RAUM · $878M to $865M
        Mar 28, 2014 to Mar 25, 2015
      • Discretionary RAUM · $940M to $878M
        Mar 26, 2013 to Mar 28, 2014
      • RAUM · $940M to $878M
        Mar 26, 2013 to Mar 28, 2014
      • Advisory employees · unset to 2.0
        Mar 29, 2012 to Mar 26, 2013
      • BD registered reps · unset to 10.0
        Mar 29, 2012 to Mar 26, 2013
      • Employees · unset to 10.0
        Mar 29, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 26, 2013
      Signals
      2 dated events
      • Joseph James Dunne (Chief Executive Officer) no longer on Schedule A of P•••• S•••••• A••••••• L•• (listed 2020-01-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • S•••••• O•••••• A•••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 30, 2020 · 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