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••••••••• E••••• C•••••• M•••••• L•••••

Former SEC-registered adviserP•••••••••, Rhode IslandCRD 155669SEC 801-71993IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$154M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$154M gross assets
History
19 filings and snapshots on the tape
RAUM$154M as of Mar 31, 2022
Mar 30, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)0 as of Mar 31, 2022
Apr 1, 201325 then
Private funds1 as of Mar 31, 2022
Mar 30, 20123 then
RAUM -17% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$51.5MderivedRAUM 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
-17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$154M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••• S•••••••• F•••••• L•••no longer reportedHedge Fund$773M2Mar 30, 2012
      P••••••••• T•• S•••••• S••••••••• F••• L•••Hedge Fund$154M32Mar 30, 2012
      P••••••••• T•• D••• O••••••••• F••• I• L•••Hedge Fund$30.1M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• S••••• N•••••••• · General Counsel & Chief Compliance Officercontrol
        since 02/2020 · owns less than 5%
      • N•••••• J•••••••• M••••• · Chief Executive Officercontrol
        since 02/2019 · owns less than 5%
      • P•••••• M•••• G••••• · Chief Financial Officercontrol
        since 02/2019 · owns less than 5%
      Entity owners
      • P••••••••• E••••• L••••• · M••••••• M•••••
        direct · owns 75% or more
      • P••••••••• E••••• G••••• G•••• L••••• · M•••••
        indirect · owns 25% to 50% of P••••••••• E••••• P••••••• L•••••
      • P••••••••• E••••• P••••••• L••••• · M••••••• M•••••
        indirect · owns 75% or more of P••••••••• E••••• L•••••
      • P••••••••• M••••••• M••••• L••••• · M••••••• M•••••
        indirect · owns F of P••••••••• E••••• P••••••• L•••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 5 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Private funds · 2 to 1
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $185M to $154M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $185M to $154M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $185M to $154M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 11 to 5
        Oct 12, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 11 to 5
        Oct 12, 2020 to Mar 31, 2021
      • Discretionary RAUM · $318M to $185M
        Oct 12, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $318M to $185M
        Oct 12, 2020 to Mar 31, 2021
      • RAUM · $318M to $185M
        Oct 12, 2020 to Mar 31, 2021
      • Discretionary RAUM · $342M to $318M
        Feb 18, 2020 to Mar 27, 2020
      • Pooled vehicle RAUM · $342M to $318M
        Feb 18, 2020 to Mar 27, 2020
      • RAUM · $342M to $318M
        Feb 18, 2020 to Mar 27, 2020
      • Discretionary RAUM · $362M to $342M
        Feb 19, 2019 to Mar 28, 2019
      • Pooled vehicle RAUM · $362M to $342M
        Feb 19, 2019 to Mar 28, 2019
      • RAUM · $362M to $342M
        Feb 19, 2019 to Mar 28, 2019
      • HQ city · NEW YORK to P•••••••••
        Mar 30, 2018 to Feb 19, 2019
      • HQ state · NY to RI
        Mar 30, 2018 to Feb 19, 2019
      • Discretionary RAUM · $480M to $362M
        Mar 30, 2018 to Feb 19, 2019
      • Pooled vehicle RAUM · $480M to $362M
        Mar 30, 2018 to Feb 19, 2019
      • RAUM · $480M to $362M
        Mar 30, 2018 to Feb 19, 2019
      • Accounts · 12 to 11
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 11.0
        Mar 31, 2017 to Mar 30, 2018
      • Financial planning clients · unset to 0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Private funds · 3 to 2
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.4B to $480M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 480394595.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $1.4B to $480M
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.8B to $1.4B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $1.8B to $1.4B
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.1B to $1.8B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $2.1B to $1.8B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 19 to 0
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 30 to 0
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.0B to $2.1B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $3.0B to $2.1B
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 18 to 19
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 25 to 30
        Apr 1, 2013 to Mar 31, 2014
      Signals
      14 dated events
      • P••••••••• E••••• C•••••• M•••••• L••••• reported RAUM $185.2M, down 42% from $317.7M (2020-10-12 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Charles John Hahn (Member) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2020-03-27, absent 2020-10-12)
        Oct 12, 2020 · Control person left · inference
      • Charles John Hahn (Member) appeared on Schedule A of P••••••••• E••••• C•••••• M•••••• L•••••
        Feb 18, 2020 · Control person joined · fact
      • Andrew Roman Bejger (Chief Compliance Officer) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2019-03-28, absent 2020-02-18)
        Feb 18, 2020 · Control person left · inference
      • Michael Glenn Creamer (Member) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2019-03-28, absent 2020-02-18)
        Feb 18, 2020 · Control person left · inference
      • Jude Paul Salem (Member) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2019-03-28, absent 2020-02-18)
        Feb 18, 2020 · Control person left · inference
      • Nicholson Sarah Conde (Chief Compliance Officer) appeared on Schedule A of P••••••••• E••••• C•••••• M•••••• L•••••
        Feb 18, 2020 · Control person joined · fact
      • James Thomas Gahan (President And Chief Executive Officer) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2018-03-30, absent 2019-02-19)
        Feb 19, 2019 · Control person left · inference
      • Andrew Roman Bejger (Chief Compliance Officer) appeared on Schedule A of P••••••••• E••••• C•••••• M•••••• L•••••
        Feb 19, 2019 · Control person joined · fact
      • Gerald Marc Puglia (Chief Financial Officer) appeared on Schedule A of P••••••••• E••••• C•••••• M•••••• L•••••
        Feb 19, 2019 · Control person joined · fact
      • Joseph David Manlowe (Chief Operating Officer) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2018-03-30, absent 2019-02-19)
        Feb 19, 2019 · Control person left · inference
      • Howe Alexander Mcmillan (Chief Compliance Officer) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2018-03-30, absent 2019-02-19)
        Feb 19, 2019 · Control person left · inference
      • Roger Bryan Martoken (Chief Financial Officer) no longer on Schedule A of P••••••••• E••••• C•••••• M•••••• L••••• (listed 2018-03-30, absent 2019-02-19)
        Feb 19, 2019 · Control person left · inference
      • P••••••••• E••••• C•••••• M•••••• L••••• reported RAUM $480.4M, down 66% from $1.4B (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · 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.
      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