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••••••••• A•••••••
Legal name P••••••••• A••••••• L•••
Latest filing Jul 13, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Oct 4, 2010
RAUM
$12B
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
49
28 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
17
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$12B as of Jul 13, 2026
Mar 30, 2012$600M then
HNW client RAUM: $213M
State-registered IARs (5.B.3)0 as of Jul 13, 2026
Mar 28, 20130 then
Employees (5.A)49 as of Jul 13, 2026
Mar 28, 201312 then
Private funds17 as of Jul 13, 2026
Mar 30, 20121 then
RAUM +39% over the last fiscal year+7.4% a year over threeIARs 0 to 0offices 3 to 4
Practice profile
derived from the filing of Jul 13, 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
- $453MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $12B, 26 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12B for 26 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 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
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• L••• S••••••• M••••• F•••• L•• | Hedge Fund | $5.6B | 400 | Mar 30, 2012 |
| P••••••••• C••••• O••••••••• F••• I•• L• | Hedge Fund | $1.4B | 285 | Mar 31, 2022 |
| P••••••••• C••••• O••••••••• F••• I••• L• | Hedge Fund | $1.1B | 151 | Mar 30, 2020 |
| P••••••••• C••••• O••••••••• F••• I•• L• | Hedge Fund | $540M | 123 | Mar 29, 2018 |
| P••••••••• X•••••••• V•••••• F••• I•• L• | Venture Capital Fund | $508M | 181 | Mar 30, 2021 |
| P••• P•••••• I• F•••• L• | Hedge Fund | $207M | 4 | Feb 26, 2016 |
| P••••••••• X•••••••• V•••••• F•••• L• | Venture Capital Fund | $179M | 134 | Aug 30, 2018 |
| L•• L• H•••••••• L• | Private Equity Fund | $97.8M | 37 | Mar 30, 2020 |
| P••••••••• S• ••• L•no longer reported | Private Equity Fund | $26.9M | 5 | Mar 30, 2020 |
| P••• E• A•• I••• L• | Other Private Fund | $7.0M | 101 | Mar 30, 2020 |
| P••••••••• L• ••• L•• | Private Equity Fund | $6.8M | 5 | Mar 30, 2020 |
| P••• E• A•• I•• L• | Other Private Fund | $4.0M | 48 | Mar 30, 2020 |
| P••••••••• S• ••• L• | Private Equity Fund | $3.9M | 5 | Mar 31, 2022 |
| P• V•••••• ••• L•• | Private Equity Fund | $3.9M | 1 | Mar 20, 2024 |
| P••••••••• S• ••• L•no longer reported | Private Equity Fund | $2.7M | 5 | Mar 31, 2022 |
| P• V•••••• ••• L•• | Private Equity Fund | $2.1M | 5 | Mar 30, 2020 |
| P••••••••• C••••• O••••••••• F•••• L•no longer reported | Private Equity Fund | $1.7M | 86 | Mar 31, 2015 |
| P••••••••• S• ••• L•no longer reported | Private Equity Fund | $1.5M | 5 | Mar 30, 2021 |
| P••••••••• C••••• O••••••••• F••• •••• L•no longer reported | Private Equity Fund | $538,085 | 26 | Feb 3, 2017 |
| P• V•••••• ••• L•• | Private Equity Fund | $416,383 | 15 | Mar 31, 2022 |
| P••• E• A••• L•no longer reported | Other Private Fund | $336,553 | 26 | Mar 30, 2020 |
| P••••••••• S• ••• L• | Private Equity Fund | $7,500 | 1 | Mar 31, 2022 |
| P••• H••••••• ••• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 31, 2022 |
| P••• E• A•• I•• L• | Other Private Fund | $0 | 118 | Mar 31, 2022 |
| P••••••••• D•••••••• F••• L• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
| P••••••••• D•••••••• F••• A• L• | Private Equity Fund | $0 | 0 | Mar 28, 2024 |
| P••• P•••••• I• A•• I••• L• | Other Private Fund | $0 | 1 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- E••••••• J•••••• E••• · Chief Executive Officer And Portfolio Managercontrolsince 12/2000 · owns 75% or more
- F•••••• P••••• W•••••• · Chief Financial Officercontrolsince 07/2007 · owns less than 5%
- M•••••• J••••• H•••• · Chief Operating Officercontrolsince 12/2006 · owns less than 5%
- R••••••• A••••••••• N•• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
Related persons
Schedule D 7.A
- A••• S••••••• A••••••••• C••• I•n
- A••• S••••••• A••••••••• C••• V•n
- L•• L• H••••••• G•• L••pooled vehicle sponsorn
- P••• E• A•• G•• L••pooled vehicle sponsorn
- P••••••••• C••••••• L••pooled vehicle sponsorn
- P••••••••• C••••• O••••••••• G•• L••pooled vehicle sponsorn
- P••••••••• D•••••••• G• L••pooled vehicle sponsorn
- P••••••••• L• G•• L••pooled vehicle sponsorn
- P••••••••• S• G•• L••pooled vehicle sponsorn
- P••••••••• X•••••••• V•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
- Sheridan, WY1 employees
- Water Mill, NY
What changed
consecutive filings, newest first
- Accounts · 27 to 26Feb 23, 2026 to Mar 30, 2026
- Pooled vehicle clients · 26 to 25Feb 23, 2026 to Mar 30, 2026
- Assets in custody · $8.5B to $12BFeb 23, 2026 to Mar 30, 2026
- Employees · 45 to 49Feb 23, 2026 to Mar 30, 2026
- Other offices · 3 to 4Feb 23, 2026 to Mar 30, 2026
- Private funds · 20 to 17Feb 23, 2026 to Mar 30, 2026
- Discretionary RAUM · $8.5B to $12BFeb 23, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $8.4B to $12BFeb 23, 2026 to Mar 30, 2026
- RAUM · $8.5B to $12BFeb 23, 2026 to Mar 30, 2026
- Private funds · 19 to 20Sep 9, 2025 to Feb 23, 2026
- Accounts · 29 to 27Aug 8, 2024 to Apr 23, 2025
- Advisory employees · 30 to 28Aug 8, 2024 to Apr 23, 2025
- Pooled vehicle clients · 28 to 26Aug 8, 2024 to Apr 23, 2025
- Assets in custody · $9.6B to $8.5BAug 8, 2024 to Apr 23, 2025
- Employees · 46 to 45Aug 8, 2024 to Apr 23, 2025
- Financial planning clients · unset to Aug 8, 2024 to Apr 23, 2025
- Private funds · 20 to 19Aug 8, 2024 to Apr 23, 2025
- Discretionary RAUM · $9.7B to $8.5BAug 8, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $9.6B to $8.4BAug 8, 2024 to Apr 23, 2025
- RAUM · $9.7B to $8.5BAug 8, 2024 to Apr 23, 2025
- Accounts · 28 to 29Mar 20, 2024 to Mar 28, 2024
- Pooled vehicle clients · 27 to 28Mar 20, 2024 to Mar 28, 2024
- Assets in custody · $9.7B to $9.6BMar 20, 2024 to Mar 28, 2024
- Private funds · 17 to 20Mar 20, 2024 to Mar 28, 2024
- Discretionary RAUM · $9.9B to $9.7BMar 20, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $9.7B to $9.6BMar 20, 2024 to Mar 28, 2024
- RAUM · $9.9B to $9.7BMar 20, 2024 to Mar 28, 2024
- Accounts · 30 to 28Mar 30, 2023 to Mar 20, 2024
- Advisory employees · 23 to 30Mar 30, 2023 to Mar 20, 2024
- Pooled vehicle clients · 29 to 27Mar 30, 2023 to Mar 20, 2024
- Assets in custody · $9.3B to $9.7BMar 30, 2023 to Mar 20, 2024
- Employees · 39 to 46Mar 30, 2023 to Mar 20, 2024
- Private funds · 19 to 17Mar 30, 2023 to Mar 20, 2024
- Discretionary RAUM · $9.5B to $9.9BMar 30, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $9.3B to $9.7BMar 30, 2023 to Mar 20, 2024
- RAUM · $9.5B to $9.9BMar 30, 2023 to Mar 20, 2024
- Accounts · 32 to 30Sep 13, 2022 to Mar 30, 2023
- Advisory employees · 22 to 23Sep 13, 2022 to Mar 30, 2023
- Pooled vehicle clients · 31 to 29Sep 13, 2022 to Mar 30, 2023
- Assets in custody · $10B to $9.3BSep 13, 2022 to Mar 30, 2023
Signals
4 dated events
- P••••••••• A••••••• reported RAUM $11.8B, up 39% from $8.5B (2026-02-23 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- P••••••••• A••••••• reported RAUM $13.5B, up 66% from $8.1B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- P••••••••• A••••••• reported RAUM $8.1B, up 61% from $5.0B (2019-04-10 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- P••••••••• A••••••• reported RAUM $6.1B, up 78% from $3.4B (2018-02-15 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••••• A••••••• · Independent Sponsorsshared crd · capital_provider
- P••••••••• A••••••• · Private Equityshared crd · organization
- P••••••••• A••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••••L•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-205-5300reportedpublic record, Form ADV, Jul 13, 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