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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P••••••• C••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 30, 2012 · 39 filings
SEC status approved since Jan 23, 2006
RAUM
$532M
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
14
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$532M as of Apr 30, 2026
Mar 30, 2012$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 25, 20130 then
Employees (5.A)14 as of Apr 30, 2026
Mar 25, 201374 then
Private funds14 as of Apr 30, 2026
Mar 30, 201212 then
RAUM +54% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
- $31.3MderivedRAUM 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
- +54%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 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$532M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- 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=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
32 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• G••••• M••••• F••• S•• L•• F•• A•• O• B••••• O• P•••••••• A• • G••••• S•••••••no longer reported | Hedge Fund | $2.0B | 261 | Mar 30, 2012 |
| P••••••• M• M••••• F•••• L•no longer reported | Hedge Fund | $1.1B | 23 | Mar 30, 2012 |
| P••••••• G••••• L••• S•••• F••• L•no longer reported | Hedge Fund | $816M | 45 | Mar 30, 2012 |
| P••••••• L••• S•••• M••••• F••• S••• L••• F•• A•• O• B••••• O• P•••••••• A•no longer reported | Hedge Fund | $242M | 32 | Jan 15, 2013 |
| N••••• P••••••• F••• I• L• | Private Equity Fund | $162M | 90 | Mar 9, 2020 |
| P••••••• L••• S•••• M••••• F••• S••• L••• F•• A•• O• B••••• O• P•••••••• B•no longer reported | Hedge Fund | $154M | 27 | Jan 15, 2013 |
| P••••••• L••• S•••• M••••• F••• S••• L••• F•• A•• O• B••••• O• P•••••••• C•no longer reported | Hedge Fund | $86.9M | 2 | Mar 31, 2017 |
| P••••••• V•••••••• L••no longer reported | Private Equity Fund | $68.6M | 23 | Mar 30, 2012 |
| N••••• P••••••• F••• I•• L• | Private Equity Fund | $68.0M | 73 | Mar 30, 2022 |
| P••••••• P••••••• M••••• F••• S•• • P•••••••• A•no longer reported | Private Equity Fund | $31.9M | 32 | Mar 31, 2014 |
| P••••••• P••••••• M••••• F••• S•• • P•••••••• B•no longer reported | Private Equity Fund | $21.1M | 44 | Aug 21, 2014 |
| P••••••• I•• L•no longer reported | Hedge Fund | $20.9M | 34 | Mar 30, 2018 |
| N••••• P••••••• O••••••••• L••• • S••••• 2•no longer reported | Private Equity Fund | $20.1M | 1 | Mar 31, 2021 |
| N••••• P••••••• O••••••••• L••• • S••••• 1•no longer reported | Private Equity Fund | $19.5M | 24 | Mar 31, 2021 |
| P••••••• G••••• M••••• F••• S•• L•• F•• A•• O• B••••• O• P•••••••• F• • M••• S•••••••no longer reported | Hedge Fund | $19.4M | 6 | Jan 15, 2013 |
| P••••••• G••••• M••••• F••• S•• L•• F•• A•• O• B••••• O• P•••••••• J•no longer reported | Hedge Fund | $17.4M | 22 | Aug 28, 2017 |
| N••••• P••••••• O••••••••• L••• • S••••• 5• | Private Equity Fund | $12.1M | 23 | Mar 30, 2023 |
| N••••• P••••••• O••••••••• L••• • S••••• 4• | Private Equity Fund | $11.8M | 36 | Mar 31, 2021 |
| S•••• R••• A••••• F••• L• | Private Equity Fund | $10.0M | 3 | Mar 30, 2018 |
| N••••• P••••••• O••••••••• L••• • L• S•••••no longer reported | Private Equity Fund | $7.7M | 19 | Mar 31, 2021 |
| P••••••• D•••••• N••••••• L••• | Private Equity Fund | $7.3M | 36 | Mar 30, 2018 |
| P••••••• M•••••••• M••••• F••• I•• L•no longer reported | Hedge Fund | $6.1M | 10 | Mar 30, 2012 |
| P••••••• T•••••• L•• S••••• S•••• C•••• R•no longer reported | Hedge Fund | $5.8M | 5 | Mar 29, 2019 |
| N••••• P••••••• O••••••••• L••• • S••••• 6• | Private Equity Fund | $5.7M | 13 | Mar 30, 2022 |
| P••••••• S•••••• O••••••••• M••••• F••• L•no longer reported | Hedge Fund | $3.7M | 129 | Mar 30, 2012 |
| P••••••• M•••••••• M••••• F•••• L•no longer reported | Hedge Fund | $1.8M | 138 | Mar 30, 2012 |
| P••••••• E••••• F••• L•no longer reported | Hedge Fund | $1.7M | 20 | Feb 28, 2014 |
| P••••••• G••••• S••••••••• I•• L••no longer reported | Hedge Fund | $1.1M | 286 | Mar 30, 2012 |
| P••••••• G••••• S••••••••• I••• L••no longer reported | Hedge Fund | $798,083 | 207 | Mar 30, 2012 |
| P••••••• E••••• M••••• F••• S•• L•• F•• A•• O• B••••• O• P•••••••• A• • E••••• S•••••••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| P••••••• I•••• I••••••••• ••••••••• L••no longer reported | Hedge Fund | $0 | 1 | Mar 30, 2012 |
| P••••••• E••••• M••••• F••• S•• L•• F•• A•• O• B••••• O• P•••••••• B• • R•••••••• E•••••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J•••• H••••• · Managing Member And Chief Investment Officercontrolsince 05/2000 · owns 75% or more
- K••• J••••• S• W•• · General Counsel And Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- M••••• E••••••••• A•• · Chief Financial Officercontrolsince 12/2011 · owns less than 5%
- P••••• J•••••• L••••• · Chief Operating Officercontrolsince 07/2004 · owns less than 5%
Related persons
Schedule D 7.A
- N••••• P••••••• G• I•• L••pooled vehicle sponsorn
- N••••• P••••••• G•• L••pooled vehicle sponsorn
- P••••••• H•••••••• L••pooled vehicle sponsorn
- P••••••• V••••••• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 17Jun 27, 2025 to Apr 30, 2026
- Pooled vehicle clients · 14 to 17Jun 27, 2025 to Apr 30, 2026
- Employees · 10 to 14Jun 27, 2025 to Apr 30, 2026
- Private funds · 11 to 14Jun 27, 2025 to Apr 30, 2026
- Discretionary RAUM · $346M to $532MJun 27, 2025 to Apr 30, 2026
- Pooled vehicle RAUM · $346M to $532MJun 27, 2025 to Apr 30, 2026
- RAUM · $346M to $532MJun 27, 2025 to Apr 30, 2026
- Financial planning clients · 0 to 0Apr 29, 2025 to Jun 27, 2025
- Accounts · 9 to 14Jun 28, 2024 to Apr 29, 2025
- Pooled vehicle clients · 9 to 14Jun 28, 2024 to Apr 29, 2025
- Employees · 12 to 10Jun 28, 2024 to Apr 29, 2025
- Private funds · 7 to 11Jun 28, 2024 to Apr 29, 2025
- Discretionary RAUM · $277M to $346MJun 28, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $277M to $346MJun 28, 2024 to Apr 29, 2025
- RAUM · $277M to $346MJun 28, 2024 to Apr 29, 2025
- Advisory employees · 4 to 5Sep 5, 2023 to Mar 29, 2024
- Employees · 14 to 12Sep 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $299M to $277MSep 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $299M to $277MSep 5, 2023 to Mar 29, 2024
- RAUM · $299M to $277MSep 5, 2023 to Mar 29, 2024
- Accounts · 8 to 9May 4, 2022 to Mar 30, 2023
- Pooled vehicle clients · 8 to 9May 4, 2022 to Mar 30, 2023
- Employees · 15 to 14May 4, 2022 to Mar 30, 2023
- Private funds · 6 to 7May 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $352M to $299MMay 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $352M to $299MMay 4, 2022 to Mar 30, 2023
- RAUM · $352M to $299MMay 4, 2022 to Mar 30, 2023
- Accounts · 12 to 8Apr 26, 2021 to Mar 30, 2022
- Pooled vehicle clients · 12 to 8Apr 26, 2021 to Mar 30, 2022
- Employees · 11 to 15Apr 26, 2021 to Mar 30, 2022
- Financial planning clients · unset to 0Apr 26, 2021 to Mar 30, 2022
- Private funds · 9 to 6Apr 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $309M to $352MApr 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $309M to $352MApr 26, 2021 to Mar 30, 2022
- RAUM · $309M to $352MApr 26, 2021 to Mar 30, 2022
- Accounts · 7 to 12Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 5 to 4Mar 30, 2020 to Mar 31, 2021
- BD registered reps · 1 to 0Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 7 to 12Mar 30, 2020 to Mar 31, 2021
- Assets in custody · 172271019.0 to unsetMar 30, 2020 to Mar 31, 2021
Signals
5 dated events
- P••••••• C••••••• L•• reported RAUM $532.4M, up 54% from $346.0M (2025-06-27 to 2026-04-30)Apr 30, 2026 · RAUM change · derived
- P••••••• C••••••• L•• reported RAUM $309.1M, up 79% from $172.3M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- P••••••• C••••••• L•• reported RAUM $172.3M, down 39% from $283.4M (2019-09-16 to 2020-02-19)Feb 19, 2020 · RAUM change · derived
- P••••••• C••••••• L•• reported RAUM $283.4M, down 47% from $535.0M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- P••••••• C••••••• L•• reported RAUM $535.0M, down 88% from $4.3B (2017-08-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• C••••••• L•• · Private Equityshared crd · organization
- P••••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-321-4600reportedpublic record, Form ADV, Apr 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
- 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