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••••••••• A•••••• L••
Latest filing Sep 29, 2020
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$478M
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
18
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$236M gross assets
History
17 filings and snapshots on the tape
RAUM$478M as of Mar 30, 2020
Mar 30, 2012$425M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 22, 20130 then
Employees (5.A)18 as of Mar 30, 2020
Mar 22, 201318 then
Private funds4 as of Mar 30, 2020
Mar 30, 20124 then
RAUM -20% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 29, 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
- $29.9MderivedRAUM 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
- -20%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 vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$476M100%
- Other investment advisers$2.3M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•• I••••••••• C••••• M••••• F••• L• | Hedge Fund | $112M | 40 | Mar 30, 2012 |
| J•• C••••• O••••••••• M••••• F••• L•• | Hedge Fund | $57.2M | 45 | Mar 30, 2012 |
| J•• B••••••• A•••• M••••• F••• L•• | Hedge Fund | $27.8M | 23 | Mar 24, 2022 |
| J•• P••••••• M••••• F••• L• | Hedge Fund | $7.4M | 38 | Mar 30, 2012 |
| J•• I••••••••• C••••• M••••• F••• L• | Hedge Fund | $5.9M | 1 | Mar 24, 2022 |
| J•• Q••••••••• M••••• N•••••• F••• L• | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• T••••• L•• · Chief Compliance Officercontrolsince 09/2020 · owns less than 5%
- P••••••• J••••••• L••••••• · Chief Executive Officer, Chief Investment Officer, Senior Managing Directorcontrolsince 05/2003 · owns 75% or more
- Y•••••• R•••••• A• · Chief Financial Officer, Managing Directorcontrolsince 03/2005 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• C•••••• M••••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 16Mar 29, 2019 to Mar 30, 2020
- Pooled vehicle clients · 14 to 15Mar 29, 2019 to Mar 30, 2020
- Employees · 20 to 18Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $592M to $476MMar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $2.0M to $2.3MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $542M to $476MMar 29, 2019 to Mar 30, 2020
- RAUM · $594M to $478MMar 29, 2019 to Mar 30, 2020
- Accounts · 16 to 17Jan 15, 2019 to Mar 29, 2019
- Discretionary RAUM · $664M to $592MJan 15, 2019 to Mar 29, 2019
- Non-discretionary RAUM · $2.5M to $2.0MJan 15, 2019 to Mar 29, 2019
- Pooled vehicle RAUM · $613M to $542MJan 15, 2019 to Mar 29, 2019
- RAUM · $667M to $594MJan 15, 2019 to Mar 29, 2019
- Accounts · 14 to 16Jun 7, 2018 to Jan 15, 2019
- Advisory employees · 14 to 9Jun 7, 2018 to Jan 15, 2019
- Pooled vehicle clients · 13 to 14Jun 7, 2018 to Jan 15, 2019
- Employees · 22 to 20Jun 7, 2018 to Jan 15, 2019
- Discretionary RAUM · $1.2B to $664MJun 7, 2018 to Jan 15, 2019
- Non-discretionary RAUM · $0 to $2.5MJun 7, 2018 to Jan 15, 2019
- Pooled vehicle RAUM · $1.2B to $613MJun 7, 2018 to Jan 15, 2019
- RAUM · $1.2B to $667MJun 7, 2018 to Jan 15, 2019
- Accounts · 13 to 14Mar 29, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 13.0Mar 29, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 30, 2018
- Discretionary RAUM · $1.6B to $1.2BMar 29, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 1154585373.0Mar 29, 2017 to Mar 30, 2018
- RAUM · $1.6B to $1.2BMar 29, 2017 to Mar 30, 2018
- Employees · 21 to 22Aug 15, 2016 to Mar 29, 2017
- Discretionary RAUM · $1.1B to $1.6BAug 15, 2016 to Mar 29, 2017
- RAUM · $1.1B to $1.6BAug 15, 2016 to Mar 29, 2017
- Accounts · 15 to 13Apr 20, 2016 to Jun 28, 2016
- Advisory employees · 15 to 14Apr 20, 2016 to Jun 28, 2016
- Discretionary RAUM · $796M to $1.1BApr 20, 2016 to Jun 28, 2016
- RAUM · $796M to $1.1BApr 20, 2016 to Jun 28, 2016
- Advisory activities · 3 to 2Mar 20, 2015 to Mar 30, 2016
- Employees · 22 to 21Mar 20, 2015 to Mar 30, 2016
- Discretionary RAUM · $1.2B to $796MMar 20, 2015 to Mar 30, 2016
- RAUM · $1.2B to $796MMar 20, 2015 to Mar 30, 2016
- Accounts · 13 to 15Mar 27, 2014 to Mar 20, 2015
- Advisory employees · 13 to 15Mar 27, 2014 to Mar 20, 2015
- Employees · 19 to 22Mar 27, 2014 to Mar 20, 2015
Signals
4 dated events
- Scott Lance Friedler (General Counsel, Chief Compliance Officer) no longer on Schedule A of P•••••• I••••••••• A•••••• L•• (listed 2020-03-30, absent 2020-09-29)Sep 29, 2020 · Control person left · inference
- Lee Tyler Defibaugh (Chief Compliance Officer) appeared on Schedule A of P•••••• I••••••••• A•••••• L••Sep 29, 2020 · Control person joined · fact
- P•••••• I••••••••• A•••••• L•• reported RAUM $666.9M, down 46% from $1.2B (2018-06-07 to 2019-01-15)Jan 15, 2019 · RAUM change · derived
- Jerome Michael Donoghue (President, Managing Director) no longer on Schedule A of P•••••• I••••••••• A•••••• L•• (listed 2018-06-07, absent 2019-01-15)Jan 15, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- P••••••INVADV.COMreportedpublic record, Form ADV, Sep 19, 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
- FORMER SEC A••••••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