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•••••• M••••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 21 filings
SEC status approved since Jan 31, 2006
RAUM
$5.3B
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
85
36 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$5.3B as of Mar 31, 2026
Apr 2, 2012$22B then
HNW client RAUM$0 as of Mar 31, 2026
Apr 2, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)85 as of Mar 31, 2026
Mar 28, 201368 then
Private funds15 as of Mar 31, 2026
Apr 2, 20123 then
RAUM -12% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $313MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- -12%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, otherreportedItem 5.G
- Custody
- $618M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.3B100%
- Corporations and businesses$6.3M0.1%
- State and municipal entities$3.8M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $618M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
31 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• C•••••• M••••• F••• L• | Hedge Fund | $2.8B | 23 | Feb 7, 2014 |
| B•••••• C•••••• B•••••••• F••• L•no longer reported | Hedge Fund | $806M | 1 | Feb 8, 2018 |
| B•••••• C•••••• B•••••••• 4•• F••• L• | Hedge Fund | $686M | 2 | Jan 7, 2021 |
| P•••• I••••••••• F•••• I••• • P•••• E••••••• L••• F••• | Other Private Fund | $591M | 14 | May 5, 2017 |
| C•••• C•• I•• B•••no longer reported | Securitized Asset Fund | $336M | 2 | Apr 1, 2015 |
| W••••••••• F••• L• | Other Private Fund | $296M | 2 | Mar 28, 2024 |
| C•••• C•• I• B•••no longer reported | Securitized Asset Fund | $221M | 2 | Apr 1, 2015 |
| C•••• C•• I• B•••no longer reported | Securitized Asset Fund | $179M | 2 | Apr 1, 2015 |
| C•••• G••••• F•••• P•• • C•••• P••••••••• F••• 1• | Other Private Fund | $164M | 4 | Apr 2, 2018 |
| C•••• G••••• F•••• P•• • C•••• S••••••••• F••••••••• F•••no longer reported | Hedge Fund | $160M | 13 | Apr 2, 2012 |
| P•••• I••••••••• F•••• I••• • C•••• P••••••••• F••• I• | Other Private Fund | $139M | 8 | Apr 2, 2019 |
| C•••• C•••••• I••••••••• O••••••••• I••• • C•••• P••••••••• F••• I•• | Other Private Fund | $105M | 4 | Apr 2, 2019 |
| P•••• I••••••••• F•••• I••• • F•••• F••• | Other Private Fund | $79.4M | 3 | Mar 28, 2024 |
| B•••••• S••••••• M••••• F••• L• | Other Private Fund | $75.9M | 3 | Feb 8, 2018 |
| C•••• G••••• F•••• P•• • C•••• S••••••••• F••••••••• F••• I•no longer reported | Other Private Fund | $74.5M | 14 | May 5, 2017 |
| C•••• G••••• F•••• P•• • C•••• E••••••• C••••••••• M••••••• F•••no longer reported | Other Private Fund | $70.5M | 3 | May 5, 2017 |
| C•••• G••••• F•••• P•• • C•••• S••••• C••••• F•••no longer reported | Other Private Fund | $68.9M | 3 | Mar 31, 2014 |
| H•••••• L••••••no longer reported | Securitized Asset Fund | $56.7M | 1 | Apr 1, 2015 |
| C•••• G••••• F•••• P•• • C•••• S••••• S•••••• F•••••• F•••no longer reported | Other Private Fund | $56.0M | 1 | Apr 2, 2019 |
| R•••••• 1• B•••no longer reported | Securitized Asset Fund | $40.6M | 2 | Apr 1, 2015 |
| P•••• S•••••• S••••••••• F••• S••• | Other Private Fund | $38.5M | 3 | Mar 28, 2024 |
| P•••• I••••••••• F•••• I••• • C•••• P••••••••• I• E•• F••••• F••• | Other Private Fund | $35.5M | 13 | Apr 2, 2019 |
| C•••• G••••• F•••• P•• • C•••• S•• M•••• A•••• C••••• F•••no longer reported | Other Private Fund | $25.1M | 1 | Mar 31, 2014 |
| P•••• I••••••••• F•••• I••• • C•••• C••••••• S•••••• O••••••••• F••• | Other Private Fund | $22.5M | 6 | Apr 2, 2019 |
| B•••• H•••• A•• C•• 2•••••• L•••no longer reported | Securitized Asset Fund | $16.7M | 1 | Apr 1, 2015 |
| C••••• 4• P••no longer reported | Securitized Asset Fund | $5.8M | 1 | Apr 1, 2015 |
| P•••••• C•••• C••• L•••no longer reported | Securitized Asset Fund | $5.6M | 1 | Apr 1, 2015 |
| C•••• H••• G•••• A•• C•• I• P••no longer reported | Securitized Asset Fund | $937,503 | 1 | Apr 1, 2015 |
| C•••• G••••• F•••• P•• • C•••• C••••• F•••no longer reported | Hedge Fund | $110,000 | 8 | Apr 2, 2012 |
| C•••• G••••• F•••• P•• • C•••• C••••• F•••• F•••no longer reported | Hedge Fund | $100,000 | 1 | Mar 28, 2013 |
| C•••• S•••••• O••••••••• C••••• M••••• F••• L••••••no longer reported | Hedge Fund | $78,464 | 4 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• S•••••••• L•••• · Chief Financial Officer And Directorcontrolsince 09/2018 · owns less than 5%
- B••••• A•••••• L•••••• · Chief Investment Officer - Leveraged L•••S And Directorcontrolsince 03/2019 · owns less than 5%
- C•••••••• N•••••••• I•• · Chief Executive Officer And Directorcontrolsince 12/2019 · owns less than 5%
- C•••••••• L••••••• T••••••• V••••••• · Directorcontrolsince 02/2024 · owns less than 5%
- D••••••• R•••••• J••• · Chief Investment Officer - Opportunistic Creditcontrolsince 09/2021 · owns less than 5%
- D••••••• M••••••• J••• · Chief Operations Officer And Directorcontrolsince 09/2021 · owns less than 5%
- F•••••••• E•••••••• N•• · Directorcontrolsince 02/2024 · owns less than 5%
- F••••• T••••••• J•••• A••••• · Chairmancontrolsince 07/2004 · owns less than 5%
- G•••••••• F••••• N•• · Directorcontrolsince 03/2019 · owns less than 5%
- M•••••• A••••••• G•••••••• · Directorcontrolsince 02/2004 · owns less than 5%
- S••••••• R•••• N•• · Directorcontrolsince 05/2023 · owns less than 5%
- W•••• S••••• R•••• · Chief Legal Officercontrolsince 07/2019 · owns less than 5%
- Y••••• A••••••••• V••••••• · Directorcontrolsince 03/2017 · owns less than 5%
- H•••••••• D•••••• J••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
- M•••••• G•••• C•••• R••••• · Presidentsince 09/2021 · owns less than 5%
Entity owners
- P•••• C•••••• M••••••••• G•••• L•••••• · Sole Shareholderdirect · owns 75% or more
- M••••••••• • B•••• D• C•••••• F••••••••• S••••• · Shareholderindirect · owns 50% to 75% of P•••• C•••••• M••••••••• G•••• L••••••
Related persons
Schedule D 7.A
- B•••••• C•••••• B•••••••• F••• ••• L••••••pooled vehicle sponsorn
- B•••••• C•••••• B••••• P••••••••• ••• L••••••pooled vehicle sponsorn
- B•••••• C•••••• F••• ••• L••••••pooled vehicle sponsorn
- M••••••••• • B•••• D• C•••••• F••••••••• S•••••broker-dealerinvestment advisery
- P•••• C•••••• M••••••••• ••• I•••investment advisernRAUM $1.2B
- P•••• S•••••• S••••••••• F••• G• S••• R••pooled vehicle sponsorn
- W••••••••• F••• ••• L••••••pooled vehicle sponsorn
Advisers that list P•••• C•••••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 17Dec 11, 2025 to Mar 31, 2026
- Advisory employees · 40 to 36Dec 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 17 to 15Dec 11, 2025 to Mar 31, 2026
- Assets in custody · $435M to $618MDec 11, 2025 to Mar 31, 2026
- Employees · 86 to 85Dec 11, 2025 to Mar 31, 2026
- Private funds · 13 to 15Dec 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.0B to $5.3BDec 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $15.4M to $10.1MDec 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $6.0B to $5.3BDec 11, 2025 to Mar 31, 2026
- RAUM · $6.0B to $5.3BDec 11, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 6, 2025
- Accounts · 18 to 19Sep 27, 2024 to Mar 31, 2025
- Advisory employees · 35 to 40Sep 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 16 to 17Sep 27, 2024 to Mar 31, 2025
- Assets in custody · $152M to $435MSep 27, 2024 to Mar 31, 2025
- Employees · 75 to 86Sep 27, 2024 to Mar 31, 2025
- HQ state · unset to Sep 27, 2024 to Mar 31, 2025
- Private funds · 12 to 13Sep 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.3B to $6.0BSep 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $16.6M to $15.4MSep 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.3B to $6.0BSep 27, 2024 to Mar 31, 2025
- RAUM · $4.3B to $6.0BSep 27, 2024 to Mar 31, 2025
- Advisory employees · 23 to 35Mar 28, 2024 to Sep 27, 2024
- BD registered reps · 0 to 1Mar 28, 2024 to Sep 27, 2024
- Employees · 62 to 75Mar 28, 2024 to Sep 27, 2024
- Accounts · 16 to 18Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 22 to 23Mar 31, 2023 to Mar 28, 2024
- Business name · C•••• C•••••• L•••••• to P•••• C•••••• M••••••••• L••••••Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 2 to 1Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 16Mar 31, 2023 to Mar 28, 2024
- Assets in custody · unset to 151776261.0Mar 31, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 31, 2023 to Mar 28, 2024
- Employees · 56 to 62Mar 31, 2023 to Mar 28, 2024
- Private funds · 10 to 12Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.3B to $4.3BMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $41.9M to $16.6MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.3B to $4.3BMar 31, 2023 to Mar 28, 2024
- RAUM · $4.3B to $4.3BMar 31, 2023 to Mar 28, 2024
- Accounts · 15 to 16Nov 15, 2022 to Mar 31, 2023
- Advisory employees · 23 to 22Nov 15, 2022 to Mar 31, 2023
Signals
28 dated events
- P•••• C•••••• M••••••••• L•••••• reported RAUM $6.0B, up 41% from $4.3B (2024-09-27 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- James Albert Timothy Frost (Chairman) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Sep 27, 2024 · Control person joined · fact
- Granville Anthony Mallin (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Sep 27, 2024 · Control person joined · fact
- Nmn Emanuele Flappini (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Sep 27, 2024 · Control person joined · fact
- Nmn Ryan Sinnott (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Sep 27, 2024 · Control person joined · fact
- T••••••• V••••••• L•••••• C••••••• (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Mar 28, 2024 · Control person joined · fact
- P•••••••• M•••••• (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Ansumana Bai-Marrow (Chief Compliance Officer) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Robert Pierce Jones (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2021-04-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- John Robert Dafforn (Chief Investment Officer - Opportunistic Credit) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Mar 31, 2022 · Control person joined · fact
- P•••• C•••••• M••••••••• L•••••• reported RAUM $4.1B, up 104% from $2.0B (2021-04-05 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- J••• M•••••• D•••••• (Chief Operations Officer) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Mar 31, 2022 · Control person joined · fact
- Colin Ronald Glen Mifsud (President) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Mar 31, 2022 · Control person joined · fact
- P•••• C•••••• M••••••••• L•••••• reported RAUM $2.0B, up 27% from $1.6B (2020-04-07 to 2021-04-05)Apr 5, 2021 · RAUM change · derived
- Titheradge James Starky (Chief Legal Officer) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2019-04-02, absent 2020-04-07)Apr 7, 2020 · Control person left · inference
- Quixano David Henriques (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2019-04-02, absent 2020-04-07)Apr 7, 2020 · Control person left · inference
- William Paul Campbell (Chief Executive Officer And Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2019-04-02, absent 2020-04-07)Apr 7, 2020 · Control person left · inference
- Ansumana Bai-Marrow (Chief Compliance Officer) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 7, 2020 · Control person joined · fact
- Ian Nicholas Chalmers (Chief Executive Officer And Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 7, 2020 · Control person joined · fact
- Rowan Shaun Wood (Chief Legal Officer) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 7, 2020 · Control person joined · fact
- L•••••• A••••• B•••• (Chief Investment Officer) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 7, 2020 · Control person joined · fact
- Teresa Maria Iardella (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2018-09-21, absent 2019-04-02)Apr 2, 2019 · Control person left · inference
- M•••• D••• La M••••• (Compliance Officer) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2018-09-21, absent 2019-04-02)Apr 2, 2019 · Control person left · inference
- J••• Roslyn Kelly (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2018-09-21, absent 2019-04-02)Apr 2, 2019 · Control person left · inference
- Francesco Coatti (Director) no longer on Schedule A of P•••• C•••••• M••••••••• L•••••• (listed 2018-09-21, absent 2019-04-02)Apr 2, 2019 · Control person left · inference
- P•••••••• M•••••• (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 2, 2019 · Control person joined · fact
- Frank Goasguen (Director) appeared on Schedule A of P•••• C•••••• M••••••••• L••••••Apr 2, 2019 · Control person joined · fact
- P•••• C•••••• M••••••••• L•••••• reported RAUM $1.6B, up 39% from $1.2B (2017-05-05 to 2018-04-02)Apr 2, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/polus-capital-management/mycompanyreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44-20-7259-4800reportedpublic record, Form ADV, Mar 31, 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