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••••••••• P••••••• A•••• M••••••••• L••

Former SEC-registered adviserGuilford, ConnecticutCRD 143013SEC 801-68052websiteIAPD
Latest filing Mar 6, 2025
First filing on the tape Mar 29, 2012 · 17 filings
SEC status approved since Jun 20, 2007
RAUM
$307M
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
14
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$307M as of Mar 6, 2025
Mar 29, 2012$123M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2025
Mar 29, 20120 then
Employees (5.A)14 as of Mar 6, 2025
Apr 2, 201323 then
Private funds: no history
RAUM +16% over the last fiscal year+5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2025; 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
$153MderivedRAUM 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
+16%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 investment companiesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$307M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      • K•••• J••••• A• · Portfolio Managercontrol
        since 05/2013 · owns less than 5%
      • L••••• S•••••• R•••• · Portfolio Managercontrol
        since 07/2020 · owns less than 5%
      • P•••••••• P••••• N••••••• · Cfo, Ccocontrol
        since 01/2007 · owns less than 5%
      • G••••••••• J•••• D••••• · Managing Membercontrol
        since 04/1997 · owns 50% to 75% of P••••••••• P•••••••• L••
      • O•••••• K••••• R•••••• · Portfolio Managercontrol
        since 04/2003 · owns 25% to 50% of P••••••••• P•••••••• L••
      Entity owners
      • P••••••••• P•••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list P••••••••• P••••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Longboat Key, FL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Mar 21, 2024 to Mar 6, 2025
      • Discretionary RAUM · $265M to $307M
        Mar 21, 2024 to Mar 6, 2025
      • RAUM · $265M to $307M
        Mar 21, 2024 to Mar 6, 2025
      • Employees · 13 to 14
        Mar 22, 2023 to Mar 21, 2024
      • Discretionary RAUM · $238M to $265M
        Mar 22, 2023 to Mar 21, 2024
      • RAUM · $238M to $265M
        Mar 22, 2023 to Mar 21, 2024
      • Discretionary RAUM · $265M to $238M
        May 26, 2022 to Mar 22, 2023
      • RAUM · $265M to $238M
        May 26, 2022 to Mar 22, 2023
      • Employees · 14 to 13
        Apr 28, 2021 to Mar 30, 2022
      • Other offices · 0 to 2
        Apr 28, 2021 to Mar 30, 2022
      • Discretionary RAUM · $261M to $265M
        Apr 28, 2021 to Mar 30, 2022
      • RAUM · $261M to $265M
        Apr 28, 2021 to Mar 30, 2022
      • Discretionary RAUM · $159M to $261M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $159M to $261M
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $154M to $159M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $154M to $159M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $145M to $154M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $145M to $154M
        Mar 28, 2018 to Mar 29, 2019
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $132M to $145M
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $132M to $145M
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $111M to $132M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $111M to $132M
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 13 to 9
        Mar 26, 2015 to Mar 30, 2016
      • Employees · 20 to 14
        Mar 26, 2015 to Mar 30, 2016
      • Discretionary RAUM · $131M to $111M
        Mar 26, 2015 to Mar 30, 2016
      • RAUM · $131M to $111M
        Mar 26, 2015 to Mar 30, 2016
      • Accounts · 1 to 2
        Mar 27, 2014 to Mar 26, 2015
      • Advisory employees · 15 to 13
        Mar 27, 2014 to Mar 26, 2015
      • Employees · 22 to 20
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $137M to $131M
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $137M to $131M
        Mar 27, 2014 to Mar 26, 2015
      • BD registered reps · 1 to 0
        Apr 2, 2013 to Mar 27, 2014
      • Employees · 23 to 22
        Apr 2, 2013 to Mar 27, 2014
      • Discretionary RAUM · $124M to $137M
        Apr 2, 2013 to Mar 27, 2014
      • RAUM · $124M to $137M
        Apr 2, 2013 to Mar 27, 2014
      • Advisory employees · unset to 15.0
        Mar 29, 2012 to Apr 2, 2013
      • BD registered reps · 0 to 1
        Mar 29, 2012 to Apr 2, 2013
      • Employees · unset to 23.0
        Mar 29, 2012 to Apr 2, 2013
      • Discretionary RAUM · $123M to $124M
        Mar 29, 2012 to Apr 2, 2013
      Signals
      4 dated events
      • P••••••••• P••••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $306.5M)
        Apr 1, 2026 · Left the SEC roster · derived
      • S Kim Just (Chief Compliance Officer) no longer on Schedule A of P••••••••• P••••••• A•••• M••••••••• L•• (listed 2022-03-30, absent 2022-05-25)
        May 25, 2022 · Control person left · inference
      • P••••••••• P••••••• A•••• M••••••••• L•• reported RAUM $261.3M, up 64% from $159.4M (2020-03-30 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • Roger Steven Labbe (Portfolio Manager) appeared on Schedule A of P••••••••• P••••••• A•••• M••••••••• L••
        Mar 30, 2021 · Control person joined · fact
      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