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.

Former SEC-registered adviser

Private Investment Partners Inc.

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 137806SEC 801-64995IAPD
Latest filing Oct 7, 2014
First filing on the tape Nov 21, 2011 · 9 filings
RAUM
$123M
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
28
26 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$353M gross assets
History
9 filings and snapshots on the tape
RAUM$123M as of Mar 28, 2014
Mar 30, 2012$381M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 30, 20120 then
Employees (5.A)28 as of Mar 28, 2014
Mar 28, 2013100 then
Private funds2 as of Mar 28, 2014
Mar 30, 20122 then
RAUM -68% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 7, 2014; 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
$61.3MderivedRAUM 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
-68%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Richard John Wolak · Director And Presidentcontrol
        since 03/2013 · owns less than 5%
      • John Timothy Knierim · Chief Compliance Officer & Executive Director
        since 10/2014 · owns less than 5%
      • Leroy Christopher Odell · Chief Legal Officer
        since 11/2010 · owns less than 5%
      Entity owners
      • Morgan Stanley · Parent Of Ms Holdings Incorporated
        direct · owns 75% or more · public reporting company
      • Ms Holdings Incorporated · Parent Of Private Investment Partners Inc.
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list Private Investment Partners Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 7 to 12
        Jan 13, 2014 to Mar 28, 2014
      • Employees · 100 to 28
        Jan 13, 2014 to Mar 28, 2014
      • Discretionary RAUM · $386M to $123M
        Jan 13, 2014 to Mar 28, 2014
      • RAUM · $386M to $123M
        Jan 13, 2014 to Mar 28, 2014
      • Advisory employees · unset to 26.0
        Aug 17, 2012 to Mar 28, 2013
      • BD registered reps · unset to 7.0
        Aug 17, 2012 to Mar 28, 2013
      • Employees · unset to 100.0
        Aug 17, 2012 to Mar 28, 2013
      • Discretionary RAUM · $381M to $386M
        Aug 17, 2012 to Mar 28, 2013
      • RAUM · $381M to $386M
        Aug 17, 2012 to Mar 28, 2013
      • Assets in custody · $382M to $0
        Nov 21, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 21, 2011 to Mar 30, 2012
      • Private funds · unset to 2
        Nov 21, 2011 to Mar 30, 2012
      • Discretionary RAUM · $382M to $381M
        Nov 21, 2011 to Mar 30, 2012
      • RAUM · $382M to $381M
        Nov 21, 2011 to Mar 30, 2012
      • Related bank · false to true
        Nov 21, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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