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••••• C••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jan 27, 2006
RAUM
$491M
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
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$491M as of Mar 26, 2026
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 26, 2026
Mar 27, 201310 then
Private funds3 as of Mar 26, 2026
Mar 30, 201213 then
RAUM -11% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $164MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 vehicles, selection of other advisersreportedItem 5.G
- Custody
- $491M, 3 clientsreportedItem 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
- Pooled investment vehicles$491M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $491M for 3 clientsreported
- 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
17 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••• T••••• · Vice President And Chief Operating Officercontrolsince 07/2014 · owns less than 5%
- B••••••••• J•••• C•••••• · Partnercontrolsince 06/2005 · owns 25% to 50%
- D•••••• B••••• C••••••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- R•••••• C•••••••• J••• · Partnercontrolsince 09/2022 · owns 10% to 25%
- W•••••• R••••••• B•••• · Partnercontrolsince 07/2002 · owns 25% to 50%
Related persons
Schedule D 7.A
- P••••• C•••••• G•• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 26, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-28, yes on the filing of 2026-03-26peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 6 to 3Mar 28, 2025 to Mar 26, 2026
- Advisory employees · 4 to 3Mar 28, 2025 to Mar 26, 2026
- Pooled vehicle clients · 6 to 3Mar 28, 2025 to Mar 26, 2026
- Assets in custody · unset to 491129928.0Mar 28, 2025 to Mar 26, 2026
- Custody of client assets · false to trueMar 28, 2025 to Mar 26, 2026
- Private funds · 13 to 3Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $551M to $491MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $551M to $491MMar 28, 2025 to Mar 26, 2026
- RAUM · $551M to $491MMar 28, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $546M to $551MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $546M to $551MMar 28, 2024 to Mar 28, 2025
- RAUM · $546M to $551MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 1 to 4Mar 31, 2023 to Mar 28, 2024
- Employees · 3 to 6Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $528M to $546MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $528M to $546MMar 31, 2023 to Mar 28, 2024
- RAUM · $528M to $546MMar 31, 2023 to Mar 28, 2024
- Other offices · 0 to 1Oct 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $686M to $528MOct 6, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $686M to $528MOct 6, 2022 to Mar 31, 2023
- RAUM · $686M to $528MOct 6, 2022 to Mar 31, 2023
- Discretionary RAUM · $537M to $686MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $537M to $686MMar 31, 2021 to Mar 31, 2022
- RAUM · $537M to $686MMar 31, 2021 to Mar 31, 2022
- Employees · 4 to 3Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $506M to $537MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $506M to $537MMar 30, 2020 to Mar 31, 2021
- RAUM · $506M to $537MMar 30, 2020 to Mar 31, 2021
- Private funds · 10 to 13Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $382M to $506MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $382M to $506MMar 29, 2019 to Mar 30, 2020
- RAUM · $382M to $506MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $412M to $382MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $412M to $382MMar 29, 2018 to Mar 29, 2019
- RAUM · $412M to $382MMar 29, 2018 to Mar 29, 2019
- Accounts · 7 to 6Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 6.0Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 29, 2018
- Private funds · 11 to 10Mar 31, 2017 to Mar 29, 2018
Signals
5 dated events
- Christopher Peter Morse (Partner) no longer on Schedule A of P••••• C••••••• L•• (listed 2022-10-06, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Christopher Brian Dillon (Chief Compliance Officer) appeared on Schedule A of P••••• C••••••• L••Mar 31, 2023 · Control person joined · fact
- J••• C••••••• R••••• (Partner) appeared on Schedule A of P••••• C••••••• L••Oct 6, 2022 · Control person joined · fact
- P••••• C••••••• L•• reported RAUM $685.5M, up 28% from $537.1M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P••••• C••••••• L•• reported RAUM $506.0M, up 32% from $382.3M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-941-5000reportedpublic record, Form ADV, Mar 26, 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
Across the graphs
P••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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