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• G••••• A•••••••

Former SEC-registered adviserBoston, MassachusettsCRD 146816SEC 801-69097IAPD
Legal name P• C•••••• L••
Latest filing Nov 19, 2013
First filing on the tape Mar 14, 2012 · 12 filings
RAUM
$20.0M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$128M as of Mar 11, 2013
Mar 14, 2012$126M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 11, 2013
Mar 14, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM -84% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Nov 19, 2013; every figure names its basis
RAUM per advisor
$20.0MderivedRAUM 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
$235,294derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
85reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P•••••• M•••••• · Managing Member, Chief Investment Officer And Chief Compliance Officercontrol
    since 07/2008 · owns 50% to 75%
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 · 370 to 85
    Mar 18, 2013 to Jul 24, 2013
  • Advisory employees · 4 to 1
    Mar 18, 2013 to Jul 24, 2013
  • Employees · 5 to 1
    Mar 18, 2013 to Jul 24, 2013
  • State-registered IARs · 4 to 1
    Mar 18, 2013 to Jul 24, 2013
  • Discretionary RAUM · $68.2M to $20.0M
    Mar 18, 2013 to Jul 24, 2013
  • Non-discretionary RAUM · $59.8M to $0
    Mar 18, 2013 to Jul 24, 2013
  • RAUM · $128M to $20.0M
    Mar 18, 2013 to Jul 24, 2013
  • Related adviser · true to false
    Mar 18, 2013 to Jul 24, 2013
  • Related adviser · false to true
    Mar 11, 2013 to Mar 18, 2013
  • Accounts · 329 to 370
    Sep 19, 2012 to Mar 11, 2013
  • Advisory employees · unset to 4.0
    Sep 19, 2012 to Mar 11, 2013
  • Employees · unset to 5.0
    Sep 19, 2012 to Mar 11, 2013
  • Financial planning clients · 0 to 1-10
    Sep 19, 2012 to Mar 11, 2013
  • State-registered IARs · 0 to 4
    Sep 19, 2012 to Mar 11, 2013
  • Discretionary RAUM · $75.3M to $68.2M
    Sep 19, 2012 to Mar 11, 2013
  • Non-discretionary RAUM · $50.9M to $59.8M
    Sep 19, 2012 to Mar 11, 2013
  • RAUM · $126M to $128M
    Sep 19, 2012 to Mar 11, 2013
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.
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