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•• H••••• S•••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Apr 10, 2008
RAUM
$1.3B
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
17
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 30, 2012$6.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)17 as of Mar 31, 2026
Apr 1, 201358 then
Private funds4 as of Mar 31, 2026
Mar 30, 201218 then
RAUM -38% over the last fiscal year-27% a year over threeIARs 0 to 0offices 1 to 2
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
- $181MderivedRAUM 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
- -38%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 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- 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=false related_bank=true bd_reps=0.0derived
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
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• H••••••••• M••••• F•••• L••• | Hedge Fund | $2.2B | 425 | Apr 1, 2013 |
| P•• T••••••• G••••• M••••• F•••• L•••no longer reported | Hedge Fund | $2.2B | 88 | Apr 1, 2013 |
| 1••no longer reported | Hedge Fund | $1.6B | 137 | Mar 30, 2012 |
| 1••no longer reported | Hedge Fund | $842M | 65 | Mar 30, 2012 |
| 2••no longer reported | Hedge Fund | $795M | 54 | Mar 30, 2012 |
| P•• H••••••••• E••••••• G••••• M••••• F•••• L•••no longer reported | Hedge Fund | $764M | 143 | Jul 7, 2015 |
| 1••no longer reported | Hedge Fund | $733M | 15 | Mar 30, 2012 |
| 3••no longer reported | Hedge Fund | $533M | 35 | Mar 30, 2012 |
| 3••no longer reported | Hedge Fund | $452M | 40 | Mar 30, 2012 |
| 1••no longer reported | Hedge Fund | $437M | 10 | Mar 30, 2012 |
| 2••no longer reported | Hedge Fund | $406M | 43 | Mar 30, 2012 |
| P•• T••••••• G••••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $401M | 4 | Mar 30, 2017 |
| P•• H••••••••• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $318M | 51 | Nov 28, 2014 |
| 4••no longer reported | Hedge Fund | $259M | 1 | Mar 30, 2012 |
| P•• D••••••••• E••••• F•••• L•••no longer reported | Hedge Fund | $227M | 2 | Mar 30, 2012 |
| P•• T••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $220M | 51 | Nov 28, 2014 |
| 5••no longer reported | Hedge Fund | $213M | 1 | Mar 30, 2012 |
| P•• T••••••••• P•••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $161M | 9 | Sep 20, 2017 |
| 5••no longer reported | Hedge Fund | $159M | 5 | Mar 30, 2012 |
| P•• B•••••• O••••••••• L• | Private Equity Fund | $109M | 73 | Mar 1, 2023 |
| 4••no longer reported | Hedge Fund | $90.9M | 15 | Mar 30, 2012 |
| P•• T••••••• G••••• P••••••••• F•••• L•••no longer reported | Hedge Fund | $67.5M | 39 | Mar 30, 2012 |
| P•• H••••••••• G••••• E••••• F••• I• L• | Private Equity Fund | $56.4M | 46 | Sep 14, 2021 |
| 2••no longer reported | Hedge Fund | $45.2M | 29 | Mar 30, 2012 |
| 3••no longer reported | Hedge Fund | $31.8M | 5 | Feb 28, 2014 |
| 4••no longer reported | Hedge Fund | $30.9M | 12 | Mar 30, 2012 |
| P•••••• I••••••••• L••• | Hedge Fund | $24.2M | 70 | Feb 28, 2014 |
| P•• M•••• D••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $15.6M | 4 | Feb 21, 2019 |
| P•• G••••• L••• A•••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $15.5M | 1 | Mar 29, 2018 |
| 4••no longer reported | Hedge Fund | $15.0M | 22 | Mar 30, 2012 |
| P•• G••••• L••• A•••• M••••• F•••• L•••no longer reported | Hedge Fund | $14.5M | 9 | Nov 28, 2014 |
| P•• H••••••••• L••• M••••• F•••• L•••no longer reported | Hedge Fund | $4.5M | 10 | Aug 29, 2017 |
| P•• S•••••••• L• | Private Equity Fund | $3.7M | 10 | Feb 22, 2022 |
| P•• M•••• L• | Private Equity Fund | $3.7M | 10 | Mar 1, 2023 |
| P•• L••••••••• S••••••••• F•••• L••• | Hedge Fund | $467,426 | 36 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••••••• J••• · Chief Financial Officercontrolsince 06/2023 · owns less than 5%
- G•••••••• B••••• D•••• · Limited Partner, Portfolio Managercontrolsince 02/2008 · owns 75% or more
- M•••••• D•••••• W•••••• · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- G•••••••• B••••• D•••• · Managing Membercontrolsince 10/2020 · owns 75% or more of P•• H••••• S••••••• G• L••
Entity owners
- P•• H••••• S••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• A•••• M••••••••• L••bankpooled vehicle sponsorn
- P•• H••••••••• G••••• E••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $2,048,992,081 to $1,266,793,646 (-38.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 1.8% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 7Jan 9, 2026 to Mar 31, 2026
- Advisory employees · 8 to 7Jan 9, 2026 to Mar 31, 2026
- Pooled vehicle clients · 8 to 7Jan 9, 2026 to Mar 31, 2026
- Employees · 18 to 17Jan 9, 2026 to Mar 31, 2026
- Other offices · 1 to 2Jan 9, 2026 to Mar 31, 2026
- Private funds · 6 to 4Jan 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $1.3BJan 9, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $2.0B to $1.3BJan 9, 2026 to Mar 31, 2026
- RAUM · $2.0B to $1.3BJan 9, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 27, 2025
- Advisory employees · 10 to 8Jun 24, 2024 to Mar 31, 2025
- Employees · 20 to 18Jun 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.4B to $2.0BJun 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.4B to $2.0BJun 24, 2024 to Mar 31, 2025
- RAUM · $2.4B to $2.0BJun 24, 2024 to Mar 31, 2025
- Advisory employees · 9 to 10Sep 6, 2023 to Mar 30, 2024
- Assets in custody · 3267306225.0 to unsetSep 6, 2023 to Mar 30, 2024
- Custody of client assets · true to falseSep 6, 2023 to Mar 30, 2024
- Employees · 23 to 20Sep 6, 2023 to Mar 30, 2024
- Discretionary RAUM · $3.3B to $2.4BSep 6, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $3.3B to $2.4BSep 6, 2023 to Mar 30, 2024
- RAUM · $3.3B to $2.4BSep 6, 2023 to Mar 30, 2024
- Pooled vehicle clients · 9 to 8Aug 29, 2023 to Sep 6, 2023
- Accounts · 9 to 8Jun 30, 2023 to Aug 29, 2023
- Private funds · 7 to 6Jun 30, 2023 to Aug 29, 2023
- Accounts · 7 to 9Mar 1, 2023 to Mar 31, 2023
- Advisory employees · 10 to 9Mar 1, 2023 to Mar 31, 2023
- Pooled vehicle clients · 7 to 9Mar 1, 2023 to Mar 31, 2023
- Assets in custody · $3.8B to $3.3BMar 1, 2023 to Mar 31, 2023
- Employees · 24 to 23Mar 1, 2023 to Mar 31, 2023
- Financial planning clients · unset to 0Mar 1, 2023 to Mar 31, 2023
- Discretionary RAUM · $3.8B to $3.3BMar 1, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $3.8B to $3.3BMar 1, 2023 to Mar 31, 2023
- RAUM · $3.8B to $3.3BMar 1, 2023 to Mar 31, 2023
- Private funds · 5 to 7Mar 31, 2022 to Mar 1, 2023
- Accounts · 5 to 7Feb 22, 2022 to Mar 31, 2022
- Advisory employees · 11 to 10Feb 22, 2022 to Mar 31, 2022
- Pooled vehicle clients · 5 to 7Feb 22, 2022 to Mar 31, 2022
- Assets in custody · $3.0B to $3.8BFeb 22, 2022 to Mar 31, 2022
- Employees · 23 to 24Feb 22, 2022 to Mar 31, 2022
Signals
11 dated events
- P•• H••••• S•••••••• L• reported RAUM $1.3B, down 38% from $2.0B (2026-01-09 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•• H••••• S•••••••• L• reported RAUM $2.4B, down 26% from $3.3B (2023-09-06 to 2024-03-30)Mar 30, 2024 · RAUM change · derived
- Scott Darin Sadow (Limited Partner, General Counsel, Cco) no longer on Schedule A of P•• H••••• S•••••••• L• (listed 2023-03-31, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- Shi Yuan Dubord (Limited Partner, Cfo) no longer on Schedule A of P•• H••••• S•••••••• L• (listed 2023-03-31, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- William Darren Mooney (Chief Compliance Officer) appeared on Schedule A of P•• H••••• S•••••••• L•Jun 30, 2023 · Control person joined · fact
- Jude Jonathan Aljoe (Chief Financial Officer) appeared on Schedule A of P•• H••••• S•••••••• L•Jun 30, 2023 · Control person joined · fact
- P•• H••••• S•••••••• L• reported RAUM $3.8B, up 26% from $3.0B (2022-02-22 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P•• H••••• S•••••••• L• reported RAUM $3.0B, up 37% from $2.2B (2020-12-17 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Medlock Christopher James (Limited Partner, Portfolio Manager, Co-Managing Partner) no longer on Schedule A of P•• H••••• S•••••••• L• (listed 2020-03-31, absent 2020-11-16)Nov 16, 2020 · Control person left · inference
- P•• H••••• S•••••••• L• reported RAUM $2.9B, down 58% from $6.9B (2019-09-30 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
- Rice William Goodell (Limited Partner, President, Coo) no longer on Schedule A of P•• H••••• S•••••••• L• (listed 2019-09-30, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P•• H••••• S•••••••• L• · Independent Sponsorsshared crd · capital_provider
- P•• H••••• S•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pfmhealthsciencesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pfmhealthsciences.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-281-1000reportedpublic 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