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••••••••• I••••••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jun 4, 2009
RAUM
$174M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$174M as of Mar 24, 2026
Mar 30, 2012$125M then
HNW client RAUM$0 as of Mar 24, 2026
Jan 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Feb 22, 20135 then
Private funds: no history
RAUM -12% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $174MderivedRAUM 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
- -12%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$174M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• P• · Ceocontrolsince 02/2009 · owns less than 5%
- M•••••• B••••••••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- R••••••• E•••• · Membercontrolsince 01/2013 · owns 25% to 50%
- S••••••• D••••• A• · Membercontrolsince 02/2009 · owns 25% to 50%
- K••••••• M•••••• M• · Membersince 02/2009 · owns 5% to 10%
- M••••• B••••• P•••••• · Membersince 02/2009 · owns 5% to 10%
- R••••••• B•••••• S•••••• · Membersince 01/2013 · owns 10% to 25%
- R••••••• R••••••• P••• · Managersince 02/2009 · owns 10% to 25%
- R••••••• S•••• · Membersince 01/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
- R•••••• R••• E••••• I••••••••• I•••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $198M to $174MMar 11, 2025 to Mar 24, 2026
- RAUM · $198M to $174MMar 11, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $232M to $198MMar 25, 2024 to Mar 11, 2025
- RAUM · $232M to $198MMar 25, 2024 to Mar 11, 2025
- Discretionary RAUM · $275M to $232MMar 21, 2023 to Mar 25, 2024
- RAUM · $275M to $232MMar 21, 2023 to Mar 25, 2024
- Discretionary RAUM · $290M to $275MMar 17, 2022 to Mar 21, 2023
- RAUM · $290M to $275MMar 17, 2022 to Mar 21, 2023
- Employees · 3 to 2Mar 25, 2021 to Mar 17, 2022
- Discretionary RAUM · $290M to $290MMar 25, 2021 to Mar 17, 2022
- RAUM · $290M to $290MMar 25, 2021 to Mar 17, 2022
- Employees · 5 to 3Feb 14, 2020 to Mar 25, 2021
- Discretionary RAUM · $354M to $290MFeb 14, 2020 to Mar 25, 2021
- RAUM · $354M to $290MFeb 14, 2020 to Mar 25, 2021
- Discretionary RAUM · $350M to $354MJan 31, 2019 to Feb 14, 2020
- RAUM · $350M to $354MJan 31, 2019 to Feb 14, 2020
- Advisory employees · 1 to 2Mar 15, 2018 to Jan 31, 2019
- Employees · 4 to 5Mar 15, 2018 to Jan 31, 2019
- Discretionary RAUM · $208M to $350MMar 15, 2018 to Jan 31, 2019
- RAUM · $208M to $350MMar 15, 2018 to Jan 31, 2019
- Discretionary RAUM · $197M to $208MOct 24, 2017 to Jan 29, 2018
- RAUM · $197M to $208MOct 24, 2017 to Jan 29, 2018
- Charity clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Corporate clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- HNW clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Individual clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Pension plan clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Pooled vehicle clients · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Other offices · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Discretionary RAUM · $157M to $197MFeb 9, 2017 to Oct 24, 2017
- HNW RAUM · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Individual RAUM · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Pension RAUM · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- Pooled vehicle RAUM · unset to 0.0Feb 9, 2017 to Oct 24, 2017
- RAUM · $157M to $197MFeb 9, 2017 to Oct 24, 2017
- Discretionary RAUM · $151M to $157MJan 28, 2016 to Feb 9, 2017
- RAUM · $151M to $157MJan 28, 2016 to Feb 9, 2017
- Employees · 5 to 4Mar 4, 2015 to Jan 28, 2016
- Discretionary RAUM · $160M to $151MMar 4, 2015 to Jan 28, 2016
Signals
2 dated events
- Bernadette Murphy (Chief Compliance Officer) appeared on Schedule A of P••••••••• I••••••••• A•••••••• L••Feb 14, 2020 · Control person joined · fact
- P••••••••• I••••••••• A•••••••• L•• reported RAUM $350.3M, up 68% from $208.3M (2018-03-15 to 2019-01-31)Jan 31, 2019 · RAUM change · derived
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 18, 2026
- Principal office phone
- 203-869-0900reportedpublic record, Form ADV, Mar 24, 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