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•••••• P•••• I•••••••••

Former SEC-registered adviserNew York, New YorkCRD 149921SEC 801-70038IAPD
Legal name P•••••• P•••• I••••••••• L•
Latest filing May 12, 2017
First filing on the tape Dec 5, 2011 · 11 filings
RAUM
$84.5M
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$84.5M gross assets
History
11 filings and snapshots on the tape
RAUM$84.5M as of May 12, 2017
Mar 30, 2012$819M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 12, 2017
Apr 1, 20130 then
Employees (5.A)3 as of May 12, 2017
Apr 1, 201325 then
Private funds3 as of May 12, 2017
Mar 30, 20124 then
RAUM -98% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 2017; 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
$10.6MderivedRAUM 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
-98%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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 discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• M••••• S•••••• L•no longer reportedHedge Fund$217M1Mar 30, 2012
      P•••••• P•••• M••••• C••••• F•••• L••no longer reportedHedge Fund$58.6M5Mar 30, 2012
      P•••••• P•••• M••••• M••••••• C••••• F•••• L••Hedge Fund$41.7M53Mar 30, 2012
      P•••••• P•••• M••••• N•• I•••• O••••••••• F•••• L•••Private Equity Fund$37.9M53Dec 18, 2013
      P•••••• P•••• E•••• M••••• M••••••• C••••• F•••• L••Hedge Fund$4.9M4Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• A•••••• · Ceo, Cio And Ccocontrol
        since 08/2008 · owns 50% to 75%
      • L••• T•••• R•••••• · General Counselcontrol
        since 07/2013 · owns less than 5%
      • M•••••• A••• · Limited Partnercontrol
        since 01/2011 · owns 5% to 10%
      • O••••• D•••••• M• · Limited Partnercontrol
        since 08/2010 · owns less than 5%
      • P•••• H•••• M•••• · Limited Partnercontrol
        since 07/2008 · owns 5% to 10%
      • A••••• A•••••• · General Partnercontrol
        since 12/2012 · owns 75% or more of P•••••• P•••• I••••••••• G• L••
      • A••••• A•••••• · General Partner
        since 12/2012 · owns F of P••• Gp LLC
      Entity owners
      • P••• L• · Limited Partner
        direct · owns 75% or more
      • P•••••• P•••• I••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • P•••••• P•••• A•••••••• L••
        pooled vehicle sponsorn
      • R••••••••• C•••••• M••••••••• G••••• L•
        investment companyn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 8
        May 13, 2016 to May 12, 2017
      • Advisory employees · 10 to 1
        May 13, 2016 to May 12, 2017
      • Advisory activities · 2 to 1
        May 13, 2016 to May 12, 2017
      • BD registered reps · 2 to 0
        May 13, 2016 to May 12, 2017
      • Employees · 28 to 3
        May 13, 2016 to May 12, 2017
      • Discretionary RAUM · $4.5B to $84.5M
        May 13, 2016 to May 12, 2017
      • RAUM · $4.5B to $84.5M
        May 13, 2016 to May 12, 2017
      • Related broker-dealer · true to false
        May 13, 2016 to May 12, 2017
      • Accounts · 8 to 9
        Feb 17, 2016 to Mar 30, 2016
      • Advisory employees · 13 to 10
        Feb 17, 2016 to Mar 30, 2016
      • BD registered reps · 3 to 2
        Feb 17, 2016 to Mar 30, 2016
      • Employees · 40 to 28
        Feb 17, 2016 to Mar 30, 2016
      • Discretionary RAUM · $5.3B to $4.5B
        Feb 17, 2016 to Mar 30, 2016
      • RAUM · $5.3B to $4.5B
        Feb 17, 2016 to Mar 30, 2016
      • Accounts · 5 to 8
        Mar 27, 2015 to Feb 17, 2016
      • Advisory activities · 4 to 2
        Mar 27, 2015 to Feb 17, 2016
      • BD registered reps · 13 to 3
        Mar 27, 2015 to Feb 17, 2016
      • Custody of client assets · false to true
        Mar 27, 2015 to Feb 17, 2016
      • Accounts · 8 to 5
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 18 to 13
        Mar 31, 2014 to Mar 27, 2015
      • BD registered reps · 10 to 13
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 34 to 40
        Mar 31, 2014 to Mar 27, 2015
      • Private funds · 4 to 3
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $3.1B to $5.3B
        Mar 31, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $217M to $0
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $3.3B to $5.3B
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 9 to 8
        Dec 18, 2013 to Mar 31, 2014
      • BD registered reps · 9 to 10
        Dec 18, 2013 to Mar 31, 2014
      • Custody of client assets · true to false
        Dec 18, 2013 to Mar 31, 2014
      • Employees · 33 to 34
        Dec 18, 2013 to Mar 31, 2014
      • Discretionary RAUM · $5.8B to $3.1B
        Dec 18, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $365M to $217M
        Dec 18, 2013 to Mar 31, 2014
      • RAUM · $6.1B to $3.3B
        Dec 18, 2013 to Mar 31, 2014
      • Accounts · 6 to 9
        Apr 1, 2013 to Dec 18, 2013
      • Advisory employees · 13 to 18
        Apr 1, 2013 to Dec 18, 2013
      • Advisory activities · 3 to 4
        Apr 1, 2013 to Dec 18, 2013
      • BD registered reps · 6 to 9
        Apr 1, 2013 to Dec 18, 2013
      • Employees · 25 to 33
        Apr 1, 2013 to Dec 18, 2013
      • Legal name · P•••••• P•••• I••••••••• LLC to P•••••• P•••• I••••••••• L•
        Apr 1, 2013 to Dec 18, 2013
      • Private funds · 3 to 4
        Apr 1, 2013 to Dec 18, 2013
      Signals
      1 dated events
      • P•••••• P•••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Apr 1, 2013 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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