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•••• F••••• L••

Former SEC-registered adviserNewtown, PennsylvaniaCRD 147911SEC 801-69533IAPD
Latest filing Mar 5, 2020
First filing on the tape Mar 14, 2012 · 11 filings
RAUM
$26.7M
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
0
beyond the principal office
Private funds
1
$26.7M gross assets
History
11 filings and snapshots on the tape
RAUM$26.7M as of Mar 5, 2020
Mar 14, 2012$46.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 5, 2020
Mar 27, 20131 then
Employees (5.A)1 as of Mar 5, 2020
Mar 27, 20131 then
Private funds1 as of Mar 5, 2020
Mar 14, 20122 then
RAUM -23% over the last fiscal year-16% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 5, 2020; every figure names its basis
RAUM per advisor
$26.7MderivedRAUM 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
$26.7MderivedRAUM 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
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
Custody
$26.7M, 1 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
  • 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)
  • 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$26.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$26.7M for 1 clientsreported
Compensation
% of AUM, performancereported
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
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
P•••• A•••• F••• L•Hedge Fund$18.5M37Mar 14, 2012
Owners and control persons
Schedule A and B, latest filing
  • S•••••• R••••••• V••••• · Managing Member/Chief Compliance Officercontrol
    since 08/2008 · owns 50% to 75%
  • S•••••• R•••••• J••••• · Membercontrol
    since 01/2010 · owns 50% to 75% of P•••• A••••••• G••••• L••
  • S•••••• R••••••• V••••• · Managing Membercontrol
    since 11/2004 · owns 50% to 75% of P•••• A••••••• G••••• L••
Entity owners
  • P•••• A••••••• G••••• L•• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2 to 1
    Mar 28, 2019 to Mar 5, 2020
  • Pooled vehicle clients · 2 to 1
    Mar 28, 2019 to Mar 5, 2020
  • Assets in custody · $34.8M to $26.7M
    Mar 28, 2019 to Mar 5, 2020
  • Other offices · 1 to 0
    Mar 28, 2019 to Mar 5, 2020
  • Private funds · 2 to 1
    Mar 28, 2019 to Mar 5, 2020
  • Discretionary RAUM · $34.8M to $26.7M
    Mar 28, 2019 to Mar 5, 2020
  • Pooled vehicle RAUM · $34.8M to $26.7M
    Mar 28, 2019 to Mar 5, 2020
  • RAUM · $34.8M to $26.7M
    Mar 28, 2019 to Mar 5, 2020
  • Assets in custody · $41.9M to $34.8M
    Mar 10, 2018 to Mar 28, 2019
  • Discretionary RAUM · $41.9M to $34.8M
    Mar 10, 2018 to Mar 28, 2019
  • Pooled vehicle RAUM · $41.9M to $34.8M
    Mar 10, 2018 to Mar 28, 2019
  • RAUM · $41.9M to $34.8M
    Mar 10, 2018 to Mar 28, 2019
  • Pooled vehicle clients · unset to 2.0
    Mar 27, 2017 to Mar 10, 2018
  • Assets in custody · $45.3M to $41.9M
    Mar 27, 2017 to Mar 10, 2018
  • Other offices · unset to 1.0
    Mar 27, 2017 to Mar 10, 2018
  • Discretionary RAUM · $45.3M to $41.9M
    Mar 27, 2017 to Mar 10, 2018
  • Pooled vehicle RAUM · unset to 41854328.0
    Mar 27, 2017 to Mar 10, 2018
  • RAUM · $45.3M to $41.9M
    Mar 27, 2017 to Mar 10, 2018
  • Assets in custody · $48.4M to $45.3M
    Nov 21, 2016 to Mar 27, 2017
  • Insurance-licensed employees · 0 to 1
    Nov 21, 2016 to Mar 27, 2017
  • Discretionary RAUM · $48.4M to $45.3M
    Nov 21, 2016 to Mar 27, 2017
  • RAUM · $48.4M to $45.3M
    Nov 21, 2016 to Mar 27, 2017
  • Assets in custody · $54.7M to $48.4M
    Feb 6, 2015 to Mar 29, 2016
  • Financial planning clients · 0 to unset
    Feb 6, 2015 to Mar 29, 2016
  • Discretionary RAUM · $54.7M to $48.4M
    Feb 6, 2015 to Mar 29, 2016
  • RAUM · $54.7M to $48.4M
    Feb 6, 2015 to Mar 29, 2016
  • Assets in custody · $4.8M to $54.7M
    Mar 31, 2014 to Feb 6, 2015
  • Discretionary RAUM · $49.8M to $54.7M
    Mar 31, 2014 to Feb 6, 2015
  • RAUM · $49.8M to $54.7M
    Mar 31, 2014 to Feb 6, 2015
  • Assets in custody · $46.9M to $4.8M
    Apr 10, 2013 to Mar 31, 2014
  • Financial planning clients · unset to 0
    Apr 10, 2013 to Mar 31, 2014
  • Discretionary RAUM · $46.9M to $49.8M
    Apr 10, 2013 to Mar 31, 2014
  • RAUM · $46.9M to $49.8M
    Apr 10, 2013 to Mar 31, 2014
  • Advisory employees · unset to 1.0
    Mar 14, 2012 to Mar 27, 2013
  • BD registered reps · unset to 1.0
    Mar 14, 2012 to Mar 27, 2013
  • Assets in custody · $46.3M to $46.9M
    Mar 14, 2012 to Mar 27, 2013
  • Employees · unset to 1.0
    Mar 14, 2012 to Mar 27, 2013
  • HQ city · LAWRENCEVILLE to NEWTOWN
    Mar 14, 2012 to Mar 27, 2013
  • HQ state · NJ to PA
    Mar 14, 2012 to Mar 27, 2013
  • State-registered IARs · unset to 1.0
    Mar 14, 2012 to Mar 27, 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