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••••• I••••••••• M••••••••• S••••••• L••••••
Latest filing Jun 28, 2013
First filing on the tape Nov 30, 2011 · 5 filings
RAUM
$15B
reported, Item 5.F
Discretionary
87%
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
52
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$15B as of Jun 28, 2013
Jun 28, 2012$18B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2013
Jun 28, 20120 then
Employees (5.A): 52
Private funds: no history
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 28, 2013; 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
- $320MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
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
- 47reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• F••••••• · Directorcontrolsince 06/2006 · owns less than 5%
- D••••••• T•••••• M• · Company Directorcontrolsince 10/2002 · owns less than 5%
- K••••••• O••• · Director And Presidentcontrolsince 07/2000 · owns less than 5%
- M••••••••• M•••••• · Cco, Evp, General Counsel & Secretarycontrolsince 11/2008 · owns less than 5%
Entity owners
- P••••• U• L•• · Shareholderdirect · owns 75% or more
- L••• M•••• G••••• H••••••• L••• · Shareholderindirect · owns 75% or more of P••••• G•••• L••.
- L••• M••••• I••• · Shareholderindirect · owns 75% or more of L••• M•••• Global Holdings L•••••• · public reporting company
- P••••• G•••• H••••••• L•• · Shareholderindirect · owns 25% to 50% of P••••• G•••• H••••••• L••
- P••••• G•••• H••••••• L•• · Shareholderindirect · owns 75% or more of P••••• Uk L••••••
- P••••• G•••• L•••••• · Shareholderindirect · owns 50% to 75% of P••••• G•••• H••••••• L••
- P••••• G•••• L•• · Shareholderindirect · owns 75% or more of P••••• Group LLC
- P••••• G•••• L•• · Shareholderindirect · owns 75% or more of P••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- F••••••• P••••••• A•••• M••••••••• L••••••investment advisern
- F••••••• P••••••• S••••investment advisern
- J•••••• A••••••• L••investment adviserbanknRAUM $5.8B
- F••••••• Partners Management L••••••investment adviserbankpooled vehicle sponsornRAUM $5.1B
- L••• M•••• I••••••••• ••••••• L••••••investment advisern
- P••••• •••• K•••• L••••••broker-dealery
- P••••• •••••• K•••investment advisery
- P••••• ••••••••• P••• L••••••broker-dealerinvestment advisery
- Entrustp••••• Management LLCinvestment adviserbankpooled vehicle sponsorn
- Glouston Capital Partners, LLCinvestment adviserpooled vehicle sponsornRAUM $1.9B
- T•• S•• J•••• B••• A•• T•••• C•• L•••n
Advisers that list P••••• I••••••••• M••••••••• S••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Dubai, United Arab Emirates
What changed
consecutive filings, newest first
- Accounts · 46 to 47Jun 28, 2012 to Jun 28, 2013
- Advisory employees · unset to 3.0Jun 28, 2012 to Jun 28, 2013
- Employees · unset to 52.0Jun 28, 2012 to Jun 28, 2013
- Discretionary RAUM · $15B to $13BJun 28, 2012 to Jun 28, 2013
- Non-discretionary RAUM · $2.2B to $1.9BJun 28, 2012 to Jun 28, 2013
- RAUM · $18B to $15BJun 28, 2012 to Jun 28, 2013
- Accounts · 47 to 46Mar 30, 2012 to Jun 28, 2012
- Discretionary RAUM · $15B to $15BMar 30, 2012 to Jun 28, 2012
- Non-discretionary RAUM · $1.8B to $2.2BMar 30, 2012 to Jun 28, 2012
- RAUM · $17B to $18BMar 30, 2012 to Jun 28, 2012
- Accounts · 46 to 47Mar 29, 2012 to Mar 30, 2012
- Discretionary RAUM · $15B to $15BMar 29, 2012 to Mar 30, 2012
- Non-discretionary RAUM · $1.7B to $1.8BMar 29, 2012 to Mar 30, 2012
- RAUM · $17B to $17BMar 29, 2012 to Mar 30, 2012
- Assets in custody · 17932442165.0 to unsetNov 30, 2011 to Mar 29, 2012
- Custody of client assets · true to falseNov 30, 2011 to Mar 29, 2012
- Insurance-licensed employees · unset to 0.0Nov 30, 2011 to Mar 29, 2012
- Discretionary RAUM · $18B to $15BNov 30, 2011 to Mar 29, 2012
- Non-discretionary RAUM · $3.4B to $1.7BNov 30, 2011 to Mar 29, 2012
- RAUM · $21B to $17BNov 30, 2011 to Mar 29, 2012
- Related bank · false to trueNov 30, 2011 to Mar 29, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P••••• I••••••••• M••••••••• S••••••• L•••••• · Private Equityshared crd · intermediary
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