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•• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape Mar 19, 2012 · 22 filings
SEC status approved since Feb 7, 2011
RAUM
$1.7B
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
62
36 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.7B as of Mar 23, 2026
Mar 19, 2012$1.0B then
HNW client RAUM$0 as of Mar 23, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Feb 11, 20130 then
Employees (5.A)62 as of Mar 23, 2026
Feb 11, 201324 then
Private funds2 as of Mar 23, 2026
Mar 22, 20231 then
RAUM +143% over the last fiscal year+66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $342MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +143%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consultingreportedItem 5.G
- Custody
- $2.8B, 22 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)
- 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
- Pension and profit-sharing plans$700M41%
- Sovereign wealth funds$499M29%
- Charitable organizations$300M18%
- Pooled investment vehicles$210M12%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.8B for 22 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.12 institutional_share=0.88 related_bd=false related_bank=true bd_reps=1.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• U• A•• L•• | Hedge Fund | $702M | 1 | Mar 22, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• H••••••• K•••••• · Chief Compliance Officercontrolsince 05/2013 · owns less than 5%
- N••••••• M•••• S••••••• · Chief Operating Officercontrolsince 08/2000 · owns less than 5%
- N••••••• W•••••• J••••• · Presidentcontrolsince 08/2000 · owns less than 5%
- N••••••• M•••• S••••••• · Membercontrolsince 08/2000 · owns 50% to 75% of P•• I••••••••• I•••
- N••••••• M•••• S••••••• · Membercontrolsince 08/2000 · owns 25% to 50% of P•• S•••••••• L••
- N••••••• W•••••• J••••• · Membercontrolsince 08/2000 · owns 25% to 50% of P•• S•••••••• L••
- N••••••• W•••••• J••••• · Membercontrolsince 08/2000 · owns 50% to 75% of P•• I••••••••• I•••
Entity owners
- P•• I••••••••• L•• · Memberdirect · owns 50% to 75%
- P•• S•••••••• L•• · Memberdirect · owns 50% to 75%
- P•• A•••• M••••••••• L•• · Memberindirect · owns 75% or more of P•• C•••••• L••
- P•• C•••••• L•• · Memberindirect · owns 75% or more of P•• I••••••••• L••
- P•• I••••••••• I••• · Memberindirect · owns 75% or more of P•• A•••• M••••••••• L••
Related persons
Schedule D 7.A
- P•• I••••••••• L••bankpooled vehicle sponsory
- P•• I••••••••• U• A••••••••• L•••investment advisery
- P•• S•••••••• P••• L•••banky
- P• I••••••••• J•••• G•investment advisery
Offices
Schedule D 1.F, the 25 largest
- Singapore, Singapore4 employees
- Jackson, WY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 23, 2026RAUM (Item 5.F) moved from $702,621,749 to $1,708,749,927 (+143.0%) between the annual amendments of 2025-03-19 and 2026-03-23; the peer median change was +15.0% (105 comparable advisers, 99.0th percentile of changes)peers: institutional managers, $1B to $5B (105) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 5Mar 19, 2025 to Mar 23, 2026
- Advisory employees · 31 to 36Mar 19, 2025 to Mar 23, 2026
- Corporate clients · 20 to 21Mar 19, 2025 to Mar 23, 2026
- Pension plan clients · 11 to 14Mar 19, 2025 to Mar 23, 2026
- Pooled vehicle clients · 35 to 36Mar 19, 2025 to Mar 23, 2026
- Assets in custody · $5.0B to $2.8BMar 19, 2025 to Mar 23, 2026
- Employees · 55 to 62Mar 19, 2025 to Mar 23, 2026
- Discretionary RAUM · $703M to $1.7BMar 19, 2025 to Mar 23, 2026
- Pension RAUM · $0 to $700MMar 19, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $175M to $210MMar 19, 2025 to Mar 23, 2026
- RAUM · $703M to $1.7BMar 19, 2025 to Mar 23, 2026
- Accounts · 1 to 3Aug 22, 2024 to Mar 19, 2025
- Corporate clients · 13 to 20Aug 22, 2024 to Mar 19, 2025
- Pension plan clients · 10 to 11Aug 22, 2024 to Mar 19, 2025
- Pooled vehicle clients · 32 to 35Aug 22, 2024 to Mar 19, 2025
- Assets in custody · $4.7B to $5.0BAug 22, 2024 to Mar 19, 2025
- Employees · 52 to 55Aug 22, 2024 to Mar 19, 2025
- Financial planning clients · unset to Aug 22, 2024 to Mar 19, 2025
- Private funds · 1 to 2Aug 22, 2024 to Mar 19, 2025
- Discretionary RAUM · $702M to $703MAug 22, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $702M to $175MAug 22, 2024 to Mar 19, 2025
- RAUM · $702M to $703MAug 22, 2024 to Mar 19, 2025
- Advisory employees · 29 to 31Mar 27, 2023 to Mar 22, 2024
- Corporate clients · 10 to 13Mar 27, 2023 to Mar 22, 2024
- Pooled vehicle clients · 30 to 32Mar 27, 2023 to Mar 22, 2024
- Assets in custody · $2.9B to $4.7BMar 27, 2023 to Mar 22, 2024
- Employees · 51 to 52Mar 27, 2023 to Mar 22, 2024
- Discretionary RAUM · $371M to $702MMar 27, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $371M to $702MMar 27, 2023 to Mar 22, 2024
- RAUM · $371M to $702MMar 27, 2023 to Mar 22, 2024
- Accounts · unset to 1.0Mar 31, 2022 to Mar 22, 2023
- Advisory employees · 27 to 29Mar 31, 2022 to Mar 22, 2023
- BD registered reps · 0 to 1Mar 31, 2022 to Mar 22, 2023
- Corporate clients · 11 to 10Mar 31, 2022 to Mar 22, 2023
- Pension plan clients · 14 to 10Mar 31, 2022 to Mar 22, 2023
- Pooled vehicle clients · 32 to 30Mar 31, 2022 to Mar 22, 2023
- Assets in custody · $4.1B to $2.9BMar 31, 2022 to Mar 22, 2023
- Private funds · unset to 1Mar 31, 2022 to Mar 22, 2023
- Discretionary RAUM · unset to 371359867.0Mar 31, 2022 to Mar 22, 2023
- Non-discretionary RAUM · unset to 0.0Mar 31, 2022 to Mar 22, 2023
Signals
2 dated events
- P•• G••••• L•• reported RAUM $1.7B, up 143% from $702.6M (2025-03-19 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- P•• G••••• L•• reported RAUM $702.3M, up 89% from $371.4M (2023-03-27 to 2024-03-22)Mar 22, 2024 · 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
- PEINVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-933-4500reportedpublic record, Form ADV, Mar 23, 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
- Institutional managerderiveda 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