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.

Former SEC-registered adviser

P••••••• M••••••••• ••• L••

Former SEC-registered adviserNew York, New YorkCRD 139405SEC 801-72514IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$1.7B
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
60
30 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$1.7B gross assets
History
11 filings and snapshots on the tape
RAUM$1.7B as of Mar 30, 2016
Mar 30, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)60 as of Mar 30, 2016
Apr 3, 201370 then
Private funds3 as of Mar 30, 2016
Mar 30, 20127 then
RAUM +4.8% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$121MderivedRAUM 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
+4.8%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$753M, 4 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
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
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$753M for 4 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• P••••••• V•••• A•••••••• F•••• L•••Hedge Fund$1.1B365Mar 30, 2012
      P••••••• P••••••• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$592M251Mar 30, 2012
      P••••••• P••••••• B•••• E•• O••••••••• F••• L••no longer reportedHedge Fund$46.0M37Dec 3, 2013
      B••••••• C••••••• F•••••• F••• L••Hedge Fund$37.7M83Mar 30, 2012
      P••••••• P••••••• L••••• O••••••••• M••••• F••• L•••Hedge Fund$27.4M20Mar 30, 2012
      M•••••••• E••••• F•••••• F••• I• L••Private Equity Fund$27.0M43Mar 31, 2015
      B••••••• C••••••• F•••••• F••• I••••••••• L•••Hedge Fund$22.7M13Mar 30, 2012
      P•••••• P••••••• B•••• E•• O••••••••• F••• L••no longer reportedHedge Fund$10.6M4Dec 3, 2013
      L••••••• F•••••• F••• L••no longer reportedHedge Fund$6.1M25Apr 3, 2013
      P•• P••••• C•••••• I••••••••• L•••no longer reportedHedge Fund$5.7M2Mar 30, 2012
      L••••••• F•••••• F••• I••••••••• L•••no longer reportedHedge Fund$4.3M4Apr 3, 2013
      M•••••••• E••••• F•••••• F••• I••••••••• I• L•••Private Equity Fund$3.0M5Mar 31, 2015
      P•• P••••• C•••••• L••no longer reportedHedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• B•••••• · Owner - P••••••• M••••••••• ••• L••,P••••••• Credit Management LP, P••••••• L••••• O••••••••• M••••••••• ••• L••control
        since 01/2014 · owns 10% to 25%
      • H•••••••• S••••••• L•••• · Chief Legal Officer (All Advisers)control
        since 06/2015 · owns less than 5%
      • L•••• D••••• I••••• · Owner & Co-Cio P••••••• Mgmt (Ny) LLC, P••••••• Credit Mgmt LP, P••••••• L••••• O••••••••• Mgmt (Ny) LLCcontrol
        since 01/2015 · owns 10% to 25%
      • N••••••••• M•••• A• · Owner, Cio - P••••••• M••••••••• ••• L••,P••••••• Credit Management LP, P••••••• L••••• O••••••••• M••••••••• ••• L••control
        since 01/2002 · owns 10% to 25%
      • O••••••••• D•••• · Chief Compliance Officer And General Counsel (All Advisers)control
        since 12/2014 · owns less than 5%
      • P•••••• P•••• A•••••• · Chief Technology Officer (All Advisers)control
        since 06/2007 · owns less than 5%
      • S••••••••• J••••• · Chief Financial Officer (All Advisers)control
        since 10/2015 · owns less than 5%
      • N••••••••• M•••• A• · Ownercontrol
        since 01/2011 · owns 75% or more of P••••••• C••••• M••••••••• L••
      • N••••••••• M•••• A• · Trusteecontrol
        since 03/2009 · owns F of M••• N•••••••• G•••••• T•••• I•
      • N••••••••• M•••• A• · Trusteecontrol
        since 03/2009 · owns F of M••• N•••••••• G•••••• T••••
      Entity owners
      • M••• N•••••••• G•••••• T•••• · Owner - P••••••• M••••••••• ••• L••, P••••••• L••••• O••••••••• M••••••••• ••• L••
        direct · owns 50% to 75%
      • M••• N•••••••• G•••••• T•••• I• · Owner - P••••••• Credit Management LP
        direct · owns 50% to 75%
      • P••••••• C••••• M••••••••• L•• · General Partner - P••••••• Credit Management LP
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • P••••••• C••••• H••••••• L••
        pooled vehicle sponsorn
      • P••••••• C••••• M••••••••• L•••
        investment adviserbankn
      • P••••••• L••••• O••••••••• G• L••
        bankpooled vehicle sponsorn
      • P••••••• L••••• O••••••••• M••••••••• ••• L••
        investment adviserbankn
      • P••••••• P••••••• V•••• A••••••••• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 14
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 50 to 30
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $711M to $753M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 80 to 60
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 7 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.6B to $1.7B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $1.7B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 16 to 18
        Jan 26, 2015 to Mar 31, 2015
      • Advisory employees · 42 to 50
        Jan 26, 2015 to Mar 31, 2015
      • Assets in custody · $970M to $711M
        Jan 26, 2015 to Mar 31, 2015
      • Employees · 70 to 80
        Jan 26, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.6B to $1.6B
        Jan 26, 2015 to Mar 31, 2015
      • RAUM · $1.6B to $1.6B
        Jan 26, 2015 to Mar 31, 2015
      • Related bank · false to true
        Jan 26, 2015 to Mar 31, 2015
      • Accounts · 18 to 16
        Dec 6, 2013 to Mar 31, 2014
      • Assets in custody · $695M to $970M
        Dec 6, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.4B to $1.6B
        Dec 6, 2013 to Mar 31, 2014
      • RAUM · $1.4B to $1.6B
        Dec 6, 2013 to Mar 31, 2014
      • Private funds · 9 to 7
        Apr 3, 2013 to Dec 3, 2013
      • Accounts · 16 to 18
        Apr 17, 2012 to Apr 3, 2013
      • Advisory employees · unset to 42.0
        Apr 17, 2012 to Apr 3, 2013
      • Employees · unset to 70.0
        Apr 17, 2012 to Apr 3, 2013
      • Private funds · 7 to 9
        Apr 17, 2012 to Apr 3, 2013
      • Discretionary RAUM · $1.4B to $1.4B
        Apr 17, 2012 to Apr 3, 2013
      • RAUM · $1.4B to $1.4B
        Apr 17, 2012 to Apr 3, 2013
      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