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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SEC-registered adviser
P•••••• W••••••• P••••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2012 · 40 filings
SEC status approved since Apr 18, 2007
RAUM
$238M
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
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
21
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$238M as of Mar 31, 2026
Mar 31, 2012$8.7B then
HNW client RAUM$39.2M as of Mar 31, 2024
Mar 31, 2018$46.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)7 as of Mar 31, 2026
Apr 1, 2013117 then
Private funds21 as of Mar 31, 2026
Mar 31, 201264 then
RAUM -27% over the last fiscal year-75% 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
- $26.5MderivedRAUM 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
- -27%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 pooled vehicles, selection of other advisersreportedItem 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)
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$238M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
- K••• E••••• M••••• to C••••• P••••••• O••• L••Jul 11, 2024 · Other
- C••••••••• L•• B•••••• to C••••• P••••••• O••• L••Jul 11, 2024 · Other
- C•••• S••••• S••••• to F•••• P•••• C•••••• L••Jul 7, 2010 · Other
Joined, latest
- C•••• S••••• S••••• from T•••• C•••••• L••Aug 24, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••• P••••••• O••• L••Jul 11, 2024 · Denver, Co
Private funds
100 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• C••••••••• S•••••••• O••••••• F••• L•••no longer reported | Hedge Fund | $1.1B | 26 | Mar 31, 2012 |
| P•• M••••••••• ••••••••• L•••no longer reported | Hedge Fund | $648M | 2 | Mar 31, 2012 |
| P•• R• L•no longer reported | Other Private Fund | $469M | 1 | Feb 24, 2017 |
| P•••••• W••••••• P••••••• T•••• M••••• F••• L•••no longer reported | Hedge Fund | $364M | 0 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•••• B•••• V•••• F••• L•no longer reported | Hedge Fund | $355M | 74 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• D••••••• I••••••••• F••• I•• L••no longer reported | Private Equity Fund | $317M | 0 | Mar 31, 2012 |
| A•••••• G••••• E••••••• M••••• F••• L•no longer reported | Hedge Fund | $190M | 1 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• M••••• F••• I•• B• L••• | Private Equity Fund | $187M | 0 | Mar 31, 2012 |
| P•• G••••• M•••• O••••••• F••• L•••no longer reported | Hedge Fund | $163M | 16 | Feb 27, 2014 |
| P•••••• W••••••• P••••••• T•••• O••••••• F••• L•••no longer reported | Hedge Fund | $132M | 16 | Mar 31, 2012 |
| T•• E••••• E••••• O••••••••• M••••• F•••• L•no longer reported | Hedge Fund | $106M | 57 | Mar 29, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• C••••• I••••••••• F••• I•• L•••no longer reported | Private Equity Fund | $105M | 0 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• F••• I•• L• | Private Equity Fund | $101M | 79 | Apr 1, 2013 |
| A•••••• A••••••• R••••• M••••• F••• L•no longer reported | Hedge Fund | $94.1M | 4 | Mar 31, 2012 |
| A•••••• A••••••• R••••• O••••••• F••• L•••no longer reported | Hedge Fund | $94.1M | 4 | Mar 31, 2012 |
| P•• M••••••••• L•no longer reported | Hedge Fund | $90.3M | 4 | Mar 31, 2012 |
| A•••••• R••• R••••• A••••• O••••••• F••• L•••no longer reported | Hedge Fund | $84.1M | 4 | Mar 31, 2012 |
| A•••••• R••• R••••• A••••• M••••• F••• L•no longer reported | Hedge Fund | $84.1M | 4 | Mar 31, 2012 |
| T•• P•••••• E••••• O••••••••• F••• L•no longer reported | Private Equity Fund | $82.5M | 54 | Mar 31, 2018 |
| P•••••• W••••••• P••••••• A•• O••••••••• O••••••• F••• I•• A• | Private Equity Fund | $72.1M | 15 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•••• B•••• V•••• O••••••• F••• L••• | Hedge Fund | $70.1M | 56 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• O••••••• F••• I•• B• | Private Equity Fund | $66.6M | 31 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• T•••• F••• L•no longer reported | Hedge Fund | $62.3M | 22 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• T•••• H••••••••• M••••• F••• L•••no longer reported | Hedge Fund | $61.7M | 0 | Mar 31, 2012 |
| P•• D••••••••• E••••••• M••••• F••• L•••no longer reported | Hedge Fund | $59.9M | 0 | Mar 31, 2012 |
| P•• A•• D• I••••••••• F••• L•• | Private Equity Fund | $56.2M | 0 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•••• B•••• V•••• M••••• F••• I• L••• | Hedge Fund | $53.4M | 0 | Mar 31, 2012 |
| P•• D••••••••• E••••••• O••••••• F••• L•••no longer reported | Hedge Fund | $45.8M | 9 | Mar 31, 2012 |
| P•• G••••• M•••• F••• L•no longer reported | Hedge Fund | $45.0M | 15 | Feb 27, 2014 |
| P•••••• W••••••• P••••••• A•• O••••••••• M••••• F••• I•• F• L••• | Private Equity Fund | $44.7M | 0 | Mar 31, 2017 |
| A•••••• C••••••••• S•••••••• O••••••• F••• I• L•••no longer reported | Hedge Fund | $40.8M | 9 | Mar 31, 2012 |
| P•• P••••••••• B• A•• L•no longer reported | Hedge Fund | $38.4M | 13 | Mar 31, 2012 |
| P•• D••••••••• E••••••• F••• L•no longer reported | Hedge Fund | $37.8M | 0 | Mar 31, 2012 |
| P•• P•••••••• L•no longer reported | Other Private Fund | $36.1M | 25 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• D••••••• I••••••••• F••• I• L••no longer reported | Private Equity Fund | $33.1M | 0 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• A•• O••••••••• O••••••• F••• I• B•no longer reported | Private Equity Fund | $32.4M | 24 | Mar 31, 2012 |
| X•• H••••••• I• L•••no longer reported | Other Private Fund | $29.2M | 125 | Apr 1, 2013 |
| P•••••• W••••••• P••••••• A•• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $28.0M | 55 | Mar 31, 2012 |
| P•••••• W••••••• P••••••• T•••• H••••••••• O••••••• F••• L•••no longer reported | Hedge Fund | $26.4M | 11 | Mar 31, 2012 |
| P•• P•••••••• ••••••••• L•••no longer reported | Other Private Fund | $15.6M | 10 | Mar 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• M•••• A••••• · Chief Compliance Officer And Authorized Personcontrolsince 12/2017 · owns less than 5%
- V••••• N•••••••• J•••• · Head Of Asset Management, Chief Financial Officer And Authorized Personcontrolsince 02/2023 · owns less than 5%
- W•••••••• P••••• A•••• · Chairman And Authorized Personcontrolsince 03/2019 · owns less than 5%
Entity owners
- P•••••• W••••••• P••••••• C•••••• G•••• L• · L•••••• Partnerdirect · owns 75% or more
- P•••••• W••••••• P••••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- P•••••• W••••••• P••••••• C•••••• G•••• G• L•• · General Partnerindirect · owns F of P•••••• W••••••• P••••••• C•••••• G•••• L•
- P•••••• W••••••• P••••••• C•••••• G•••• L• · Sole L•••••• Partnerindirect · owns 75% or more of P•••••• W••••••• P••••••• C•••••• G•••• L•
- P•••••• W••••••• P••••••• L•• · General Partnerindirect · owns F of P•• C•••••• H••••••• L•
- P•• A••• P••••••••• L• · L•••••• Partnerindirect · owns 75% or more of P•• C•••••• H••••••• L•
- P•• C•••••• H••••••• L• · L•••••• Partnerindirect · owns 75% or more of P•••••• W••••••• P••••••• C•••••• G•••• L•
Related persons
Schedule D 7.A
- P•••••• W••••••• G•••broker-dealern
- P•••••• W••••••• P••••••• F••••• S••broker-dealern
- P•••••• W••••••• P••••••• L•broker-dealern
- P•••••• W••••••• U• L••••••broker-dealern
- T••••• P••••••••• H••• • C•• S••••••••• • C•••••• U••broker-dealern
- T••••• P••••••••• H••• • C•• S••••••••• L••broker-dealern
Advisers that list P•••••• W••••••• P••••••• C•••••• M••••••••• L• as a related person
- 146981 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $351M to $238MOct 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $351M to $238MOct 3, 2025 to Mar 31, 2026
- RAUM · $351M to $238MOct 3, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 4, 2025
- Discretionary RAUM · $328M to $351MMar 31, 2025 to Jun 4, 2025
- Pooled vehicle RAUM · $328M to $351MMar 31, 2025 to Jun 4, 2025
- RAUM · $328M to $351MMar 31, 2025 to Jun 4, 2025
- Private funds · 17 to 21Jul 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $421M to $328MJul 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $421M to $328MJul 1, 2024 to Mar 31, 2025
- RAUM · $421M to $328MJul 1, 2024 to Mar 31, 2025
- Accounts · 60 to 9Mar 31, 2024 to Jul 1, 2024
- Advisory employees · 22 to 1Mar 31, 2024 to Jul 1, 2024
- Advisory activities · 5 to 2Mar 31, 2024 to Jul 1, 2024
- BD registered reps · 5 to 2Mar 31, 2024 to Jul 1, 2024
- Charity clients · 43.0 to unsetMar 31, 2024 to Jul 1, 2024
- HNW clients · 4.0 to unsetMar 31, 2024 to Jul 1, 2024
- Pooled vehicle clients · 12 to 9Mar 31, 2024 to Jul 1, 2024
- Employees · 61 to 7Mar 31, 2024 to Jul 1, 2024
- State-registered IARs · 2 to 0Mar 31, 2024 to Jul 1, 2024
- Other offices · 2 to 0Mar 31, 2024 to Jul 1, 2024
- Private funds · 19 to 17Mar 31, 2024 to Jul 1, 2024
- Discretionary RAUM · $15B to $421MMar 31, 2024 to Jul 1, 2024
- HNW RAUM · 39154848.0 to unsetMar 31, 2024 to Jul 1, 2024
- Pooled vehicle RAUM · $4.7B to $421MMar 31, 2024 to Jul 1, 2024
- RAUM · $15B to $421MMar 31, 2024 to Jul 1, 2024
- Accounts · 63 to 60Oct 25, 2023 to Mar 31, 2024
- Advisory employees · 28 to 22Oct 25, 2023 to Mar 31, 2024
- BD registered reps · 4 to 5Oct 25, 2023 to Mar 31, 2024
- HNW clients · 5 to 4Oct 25, 2023 to Mar 31, 2024
- Pooled vehicle clients · 17 to 12Oct 25, 2023 to Mar 31, 2024
- Employees · 62 to 61Oct 25, 2023 to Mar 31, 2024
- Private funds · 23 to 19Oct 25, 2023 to Mar 31, 2024
- Discretionary RAUM · $14B to $15BOct 25, 2023 to Mar 31, 2024
- HNW RAUM · $34.5M to $39.2MOct 25, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $4.3B to $4.7BOct 25, 2023 to Mar 31, 2024
- RAUM · $14B to $15BOct 25, 2023 to Mar 31, 2024
- Accounts · 68 to 63Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 42 to 28Mar 31, 2022 to Mar 31, 2023
- Advisory activities · 4 to 5Mar 31, 2022 to Mar 31, 2023
Signals
15 dated events
- P•••••• W••••••• P••••••• C•••••• M••••••••• L• reported RAUM $238.4M, down 32% from $351.3M (2025-10-03 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- K••• E••••• M••••• left P•••••• W••••••• P••••••• C•••••• M••••••••• L• for C••••• P••••••• O••• L•• (registered 2024-06-28)Jul 11, 2024 · Advisor changed firm · fact
- C••••••••• L•• B•••••• left P•••••• W••••••• P••••••• C•••••• M••••••••• L• for C••••• P••••••• O••• L•• (registered 2024-06-28)Jul 11, 2024 · Advisor changed firm · fact
- 2 advisors left P•••••• W••••••• P••••••• C•••••• M••••••••• L• (Denver, CO) for C••••• P••••••• O••• L•• on the same dayJul 11, 2024 · Team lift-out · derived
- P•••••• W••••••• P••••••• C•••••• M••••••••• L• reported RAUM $421.0M, down 97% from $15.4B (2024-03-31 to 2024-07-01)Jul 1, 2024 · RAUM change · derived
- Lee Christopher Bittman (Head Of Agility And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2024-03-31, absent 2024-07-01)Jul 1, 2024 · Control person left · inference
- Vladimir Shendelman Esq (General Counsel And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2023-10-25, absent 2024-03-31)Mar 31, 2024 · Control person left · inference
- Yunqi Ni (Chief Operating Officer, Chief Financial Officer And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Nicholas James Vagra (Head Of Asset Management, Chief Financial Officer And Authorized Person) appeared on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- P•••••• W••••••• P••••••• C•••••• M••••••••• L• reported RAUM $16.6B, up 32% from $12.6B (2021-08-05 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Lee Christopher Bittman (Head Of Asset Management And Authorized Person) appeared on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L•Mar 29, 2019 · Control person joined · fact
- Amory Peter W••••••• (Chief Executive Officer And Authorized Person) appeared on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L•Mar 29, 2019 · Control person joined · fact
- Robert Joseph P•••••• (Chairman And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2019-02-01, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Frederick Aaron Hood (Head Of Asset Management And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2019-02-01, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- King Robert Steel (Chief Executive Officer And Authorized Person) no longer on Schedule A of P•••••• W••••••• P••••••• C•••••• M••••••••• L• (listed 2019-02-01, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P•••••• W••••••• P••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- P•••••• W••••••• P••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-708-8643reportedpublic 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