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•• R••••• I••••••••• I•••

Former SEC-registered adviserBaltimore, MarylandCRD 139904SEC 801-66625IAPD
Latest filing Mar 31, 2023
First filing on the tape Jan 31, 2012 · 26 filings
RAUM
$4.6B
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
27
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$4.6B as of Mar 31, 2023
Mar 15, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 28, 20130 then
Employees (5.A)27 as of Mar 31, 2023
Mar 28, 201320 then
Private funds: no history
RAUM -12% over the last fiscal year-4.5% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Mar 31, 2023; 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
$4.6BderivedRAUM 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
unknownderived3 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 assetsreportedItem 5.E
Advisory activities
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
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• C••••••• M•••••• · President And Directorcontrol
        since 11/2021 · owns less than 5%
      • G••••••• M••••••• J••••• · Directorcontrol
        since 06/2018 · owns less than 5%
      • H••••••••• T•••••• J••••• · Chief Risk Officercontrol
        since 01/2022 · owns less than 5%
      • J•••••••• A•••••••• ••••• · Chief Executive Office And Chairmancontrol
        since 03/2021 · owns less than 5%
      • R••• T•••••• R••••••• · Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • S•••••••• J•••••••• E•••••••• · Managing Director - Business Administration And Directorcontrol
        since 01/2018 · owns less than 5%
      • W•••••• M••••••• P••• · Directorcontrol
        since 10/2021 · owns less than 5%
      • Y••••• M•••• D•••• · Chief Financial Officercontrol
        since 03/2013 · owns less than 5%
      Entity owners
      • P•• H•••••• L•• · Shareholder
        direct · owns 75% or more
      • T•• P•• F•••••••• S••••••• G••••• I••• · Shareholder
        indirect · owns 75% or more of P•• H•••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list P•• R••••• I••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Washington, DC10 employees
      • San Francisco,, CA8 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 20 to 21
        Mar 28, 2022 to Mar 31, 2023
      • Other offices · 3 to 2
        Mar 28, 2022 to Mar 31, 2023
      • Discretionary RAUM · $5.3B to $4.6B
        Mar 28, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $5.3B to $4.6B
        Mar 28, 2022 to Mar 31, 2023
      • RAUM · $5.3B to $4.6B
        Mar 28, 2022 to Mar 31, 2023
      • Advisory employees · 24 to 20
        Dec 17, 2021 to Mar 28, 2022
      • Employees · 38 to 27
        Dec 17, 2021 to Mar 28, 2022
      • Other offices · 2 to 3
        Dec 17, 2021 to Mar 28, 2022
      • Discretionary RAUM · $5.1B to $5.3B
        Dec 17, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $5.1B to $5.3B
        Dec 17, 2021 to Mar 28, 2022
      • RAUM · $5.1B to $5.3B
        Dec 17, 2021 to Mar 28, 2022
      • Employees · 29 to 38
        Jun 23, 2020 to Mar 29, 2021
      • Discretionary RAUM · $5.3B to $5.1B
        Jun 23, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $5.3B to $5.1B
        Jun 23, 2020 to Mar 29, 2021
      • RAUM · $5.3B to $5.1B
        Jun 23, 2020 to Mar 29, 2021
      • Advisory employees · 25 to 24
        Oct 29, 2019 to Mar 30, 2020
      • Employees · 33 to 29
        Oct 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $5.2B to $5.3B
        Oct 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $5.2B to $5.3B
        Oct 29, 2019 to Mar 30, 2020
      • RAUM · $5.2B to $5.3B
        Oct 29, 2019 to Mar 30, 2020
      • Related bank · false to true
        Oct 29, 2019 to Mar 30, 2020
      • Advisory employees · 21 to 25
        Jul 13, 2018 to Mar 27, 2019
      • Employees · 34 to 33
        Jul 13, 2018 to Mar 27, 2019
      • Discretionary RAUM · $5.0B to $5.2B
        Jul 13, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $5.0B to $5.2B
        Jul 13, 2018 to Mar 27, 2019
      • RAUM · $5.0B to $5.2B
        Jul 13, 2018 to Mar 27, 2019
      • Accounts · unset to 1.0
        Mar 29, 2017 to Mar 12, 2018
      • Advisory employees · 28 to 21
        Mar 29, 2017 to Mar 12, 2018
      • BD registered reps · 1 to 0
        Mar 29, 2017 to Mar 12, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 29, 2017 to Mar 12, 2018
      • Assets in custody · 0.0 to unset
        Mar 29, 2017 to Mar 12, 2018
      • Custody of client assets · true to false
        Mar 29, 2017 to Mar 12, 2018
      • Employees · 30 to 34
        Mar 29, 2017 to Mar 12, 2018
      • Financial planning clients · unset to 0
        Mar 29, 2017 to Mar 12, 2018
      • Other offices · unset to 2.0
        Mar 29, 2017 to Mar 12, 2018
      • Discretionary RAUM · unset to 4971704758.0
        Mar 29, 2017 to Mar 12, 2018
      • Non-discretionary RAUM · unset to 0.0
        Mar 29, 2017 to Mar 12, 2018
      • Pooled vehicle RAUM · unset to 4971704758.0
        Mar 29, 2017 to Mar 12, 2018
      • RAUM · unset to 4971704758.0
        Mar 29, 2017 to Mar 12, 2018
      • Advisory employees · 19 to 28
        May 18, 2016 to Mar 29, 2017
      Signals
      8 dated events
      • Joseph Thomas Harrington (Chief Risk Officer) appeared on Schedule A of P•• R••••• I••••••••• I•••
        Mar 28, 2022 · Control person joined · fact
      • Albert Rinse Brink (Director) no longer on Schedule A of P•• R••••• I••••••••• I••• (listed 2021-12-17, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • David William Mennonna (Chief Risk Officer) no longer on Schedule A of P•• R••••• I••••••••• I••• (listed 2021-12-17, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      • Mullins Clayton Flanagan (President) appeared on Schedule A of P•• R••••• I••••••••• I•••
        Dec 17, 2021 · Control person joined · fact
      • Reinhard Thomas Rus (Chief Compliance Officer) appeared on Schedule A of P•• R••••• I••••••••• I•••
        Nov 2, 2021 · Control person joined · fact
      • Paul Michael Wilson (Director) appeared on Schedule A of P•• R••••• I••••••••• I•••
        Nov 2, 2021 · Control person joined · fact
      • Gerard Mark Mcglone (Director) no longer on Schedule A of P•• R••••• I••••••••• I••• (listed 2020-06-23, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Charles David Schenning (Secretary) no longer on Schedule A of P•• R••••• I••••••••• I••• (listed 2019-10-29, absent 2020-03-30)
        Mar 30, 2020 · 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.
      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