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•••••• R•••• C•••••• P•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Mar 21, 2012 · 25 filings
SEC status approved since May 29, 2013
RAUM
$495M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.1%
$34.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$495M as of Apr 7, 2026
Mar 21, 2012$77.0M then
HNW client RAUM$34.9M as of Apr 7, 2026
Mar 27, 2019$16.8M then
State-registered IARs (5.B.3)0 as of Apr 7, 2026
Mar 21, 20120 then
Employees (5.A)10 as of Apr 7, 2026
Mar 19, 20146 then
Private funds2 as of Mar 9, 2022
Mar 21, 20123 then
RAUM +26% over the last fiscal year+6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 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
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 52%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
- +26%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 individuals, portfolio management for businesses and institutions, 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$200M41%
- Investment companies$165M33%
- Charitable organizations$54.7M11%
- Corporations and businesses$39.9M8.1%
- High-net-worth individuals$34.9M7.1%
- Individual clients
- n/areported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.07 fund_share=0.33 institutional_share=0.52 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• R•••• M•••• C•• V•••• F••• L••no longer reported | Other Private Fund | $20.7M | 7 | Mar 21, 2012 |
| P•••••• R•••• S•••• C•• V•••• F••• L••no longer reported | Other Private Fund | $3.1M | 7 | Mar 21, 2012 |
| P•••••• R•••• O••••••••• F••• L••no longer reported | Other Private Fund | $2.4M | 3 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••• D••••• · Manager & Presidentcontrolsince 05/2010 · owns 50% to 75%
- T•••••• P••••• K•••• · Manager & Chief Compliance Officercontrolsince 05/2010 · owns 5% to 10%
- C••••• R•••• C••••••••• · Membersince 05/2010 · owns 10% to 25%
- M•••••••• D••••••• R•••••• · Member & Chief Investment Officersince 05/2010 · owns 10% to 25%
- M••••••••• M••••••• A•••• · Membersince 06/2010 · owns less than 5%
- M•••••••• J•••••• J••• · Membersince 06/2010 · owns 5% to 10%
- W•••••• J•••••• A••• · Membersince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Apr 7, 2026RAUM per account of $8,992,034 against a peer median of $1,946,969 (54 comparable advisers, 100.0th percentile, 4.3 robust deviations)peers: other advisers, $100M to $500M (54) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 61 to 55Mar 20, 2025 to Mar 31, 2026
- Corporate clients · 22 to 19Mar 20, 2025 to Mar 31, 2026
- HNW clients · 33 to 30Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $393M to $495MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $28.4M to $34.9MMar 20, 2025 to Mar 31, 2026
- RAUM · $393M to $495MMar 20, 2025 to Mar 31, 2026
- Accounts · 68 to 61Mar 12, 2024 to Mar 20, 2025
- Corporate clients · 24 to 22Mar 12, 2024 to Mar 20, 2025
- HNW clients · 35 to 33Mar 12, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 12, 2024 to Mar 20, 2025
- Discretionary RAUM · $442M to $393MMar 12, 2024 to Mar 20, 2025
- HNW RAUM · $30.5M to $28.4MMar 12, 2024 to Mar 20, 2025
- Pension RAUM · 1641570.0 to unsetMar 12, 2024 to Mar 20, 2025
- RAUM · $442M to $393MMar 12, 2024 to Mar 20, 2025
- Accounts · 60 to 68Oct 25, 2023 to Mar 12, 2024
- Corporate clients · 23 to 24Oct 25, 2023 to Mar 12, 2024
- HNW clients · 28 to 35Oct 25, 2023 to Mar 12, 2024
- Discretionary RAUM · $405M to $442MOct 25, 2023 to Mar 12, 2024
- HNW RAUM · $25.7M to $30.5MOct 25, 2023 to Mar 12, 2024
- Pension RAUM · $1.4M to $1.6MOct 25, 2023 to Mar 12, 2024
- RAUM · $405M to $442MOct 25, 2023 to Mar 12, 2024
- State-registered IARs · 7 to 0Mar 23, 2023 to Oct 25, 2023
- Accounts · 57 to 60Mar 9, 2022 to Mar 23, 2023
- Advisory employees · 5 to 6Mar 9, 2022 to Mar 23, 2023
- Corporate clients · 19 to 23Mar 9, 2022 to Mar 23, 2023
- HNW clients · 26 to 28Mar 9, 2022 to Mar 23, 2023
- Assets in custody · 24006946.0 to unsetMar 9, 2022 to Mar 23, 2023
- Custody of client assets · true to falseMar 9, 2022 to Mar 23, 2023
- Employees · 9 to 10Mar 9, 2022 to Mar 23, 2023
- Private funds · 2 to unsetMar 9, 2022 to Mar 23, 2023
- Discretionary RAUM · $539M to $405MMar 9, 2022 to Mar 23, 2023
- HNW RAUM · $23.9M to $25.7MMar 9, 2022 to Mar 23, 2023
- Pension RAUM · $5.1M to $1.4MMar 9, 2022 to Mar 23, 2023
- RAUM · $539M to $405MMar 9, 2022 to Mar 23, 2023
- Accounts · 49 to 57Mar 18, 2021 to Mar 9, 2022
- Corporate clients · 17 to 19Mar 18, 2021 to Mar 9, 2022
- HNW clients · 20 to 26Mar 18, 2021 to Mar 9, 2022
- Assets in custody · $25.8M to $24.0MMar 18, 2021 to Mar 9, 2022
- Employees · 8 to 9Mar 18, 2021 to Mar 9, 2022
- State-registered IARs · 6 to 7Mar 18, 2021 to Mar 9, 2022
Signals
3 dated events
- P•••••• R•••• C•••••• P•••••••• L•• reported RAUM $494.6M, up 26% from $392.7M (2025-03-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•••••• R•••• C•••••• P•••••••• L•• reported RAUM $576.9M, up 57% from $368.6M (2020-06-24 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- P•••••• R•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2013 · First SEC registration · fact
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••••••R••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 503-886-8970reportedpublic record, Form ADV, Apr 7, 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
- Other 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