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••••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jun 17, 2008
RAUM
$258M
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$258M as of Mar 26, 2026
Mar 29, 2012$118M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 22, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 15, 20130 then
Employees (5.A)5 as of Mar 26, 2026
Mar 15, 20137 then
Private funds6 as of Mar 26, 2026
Mar 29, 20123 then
RAUM +4.7% over the last fiscal year+6.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $51.6MderivedRAUM 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
- +4.7%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 advisers, otherreportedItem 5.G
- Custody
- $246M, 6 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$258M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $246M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• F••• L•• | Hedge Fund | $160M | 17 | Mar 29, 2012 |
| P••••••• M••••• F••• S•• | Hedge Fund | $140M | 2 | Mar 29, 2012 |
| P••••••• S• 1• L•• | Hedge Fund | $39.1M | 2 | Mar 22, 2019 |
| X• O••••••••• D••• F••• L•• | Hedge Fund | $14.5M | 3 | Mar 17, 2017 |
| P••••••• O••••••• F••• S•• | Hedge Fund | $5.1M | 3 | Mar 29, 2012 |
| 1••••••••• P•••••• C••••• S••••• | Other Private Fund | $4.6M | 1 | Mar 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• K••••• A••• · Managing Member, Chief Compliance Officercontrolsince 06/2006 · owns 25% to 50%
- T••••• C••••••••• T••••••• · Managing Membercontrolsince 06/2006 · owns 50% to 75%
- M•••••••• T••••••• D••••• · Membersince 05/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $246M to $258MMar 25, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $246M to $258MMar 25, 2025 to Mar 26, 2026
- RAUM · $246M to $258MMar 25, 2025 to Mar 26, 2026
- Accounts · 7 to 6Mar 28, 2024 to Mar 25, 2025
- Assets in custody · $223M to $246MMar 28, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $223M to $246MMar 28, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $223M to $246MMar 28, 2024 to Mar 25, 2025
- RAUM · $223M to $246MMar 28, 2024 to Mar 25, 2025
- Assets in custody · $215M to $223MMar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $215M to $223MMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $215M to $223MMar 27, 2023 to Mar 28, 2024
- RAUM · $215M to $223MMar 27, 2023 to Mar 28, 2024
- Accounts · 6 to 7Sep 21, 2022 to Mar 27, 2023
- Assets in custody · $366M to $215MSep 21, 2022 to Mar 27, 2023
- Private funds · 5 to 6Sep 21, 2022 to Mar 27, 2023
- Discretionary RAUM · $228M to $215MSep 21, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $228M to $215MSep 21, 2022 to Mar 27, 2023
- RAUM · $228M to $215MSep 21, 2022 to Mar 27, 2023
- Assets in custody · $221M to $366MMar 29, 2022 to Apr 8, 2022
- Advisory activities · 4 to 3Nov 4, 2021 to Mar 29, 2022
- Pooled vehicle clients · 5 to 6Nov 4, 2021 to Mar 29, 2022
- Assets in custody · $238M to $221MNov 4, 2021 to Mar 29, 2022
- Employees · 7 to 5Nov 4, 2021 to Mar 29, 2022
- Discretionary RAUM · $238M to $228MNov 4, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $230M to $228MNov 4, 2021 to Mar 29, 2022
- RAUM · $238M to $228MNov 4, 2021 to Mar 29, 2022
- Assets in custody · $299M to $238MMar 24, 2020 to Mar 25, 2021
- Discretionary RAUM · $307M to $238MMar 24, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $299M to $230MMar 24, 2020 to Mar 25, 2021
- RAUM · $307M to $238MMar 24, 2020 to Mar 25, 2021
- Assets in custody · $265M to $299MMar 22, 2019 to Mar 24, 2020
- Discretionary RAUM · $274M to $307MMar 22, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $265M to $299MMar 22, 2019 to Mar 24, 2020
- RAUM · $274M to $307MMar 22, 2019 to Mar 24, 2020
- Accounts · 5 to 6Mar 27, 2018 to Mar 22, 2019
- Pooled vehicle clients · 4 to 5Mar 27, 2018 to Mar 22, 2019
- Assets in custody · $208M to $265MMar 27, 2018 to Mar 22, 2019
- Private funds · 4 to 5Mar 27, 2018 to Mar 22, 2019
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- P•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 224-420-7040reportedpublic record, Form ADV, Mar 26, 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