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•••••••• C•••••• A•••••••• L••
Latest filing Mar 4, 2024
First filing on the tape Feb 14, 2012 · 15 filings
SEC status approved since Mar 15, 2012
RAUM
$92.0M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$80.8M gross assets
History
15 filings and snapshots on the tape
RAUM$92.0M as of Mar 4, 2024
Mar 25, 2013$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2024
Mar 25, 20130 then
Employees (5.A)4 as of Mar 4, 2024
Mar 25, 20135 then
Private funds4 as of Mar 4, 2024
Mar 25, 20132 then
RAUM -11% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2024; 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
- $23.0MderivedRAUM 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
- -11%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 vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$92.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• R••• E••••• F••• I•• L•••••• P••••••••• | Real Estate Fund | $44.4M | 46 | Mar 28, 2019 |
| P•••••••• R••• E••••• F••• I••• L•••••• P••••••••• | Real Estate Fund | $21.3M | 46 | Mar 30, 2016 |
| P•••••••• R••• E••••• F••• I•• L•••••• P••••••••• | Real Estate Fund | $12.7M | 45 | Feb 14, 2012 |
| P•••••••• R••• E••••• F•••• L•••••• P••••••••• | Real Estate Fund | $2.4M | 47 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••• L•••••• E••••• · Managing Member, Chief Compliance Officercontrolsince 10/2003 · owns 75% or more
Related persons
Schedule D 7.A
- P•••••••• C•••••• M••••••••• I•• L•••••• P•••••••••pooled vehicle sponsory
- P•••••••• C•••••• M••••••••• I••• L•••••• P•••••••••pooled vehicle sponsory
- P•••••••• C•••••• M••••••••• I•• L•••••• P•••••••••pooled vehicle sponsory
- P•••••••• C•••••• M••••••••• L•••••• L•••••••• C••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 4May 5, 2023 to Mar 4, 2024
- Employees · 5 to 4May 5, 2023 to Mar 4, 2024
- Discretionary RAUM · $104M to $92.0MMay 5, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · $104M to $92.0MMay 5, 2023 to Mar 4, 2024
- RAUM · $104M to $92.0MMay 5, 2023 to Mar 4, 2024
- Advisory employees · 4 to 5Mar 24, 2022 to Mar 28, 2023
- Employees · 4 to 5Mar 24, 2022 to Mar 28, 2023
- Discretionary RAUM · $130M to $104MMar 24, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $130M to $104MMar 24, 2022 to Mar 28, 2023
- RAUM · $130M to $104MMar 24, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Nov 8, 2021 to Mar 24, 2022
- Employees · 3 to 4Nov 8, 2021 to Mar 24, 2022
- Discretionary RAUM · $130M to $130MNov 8, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $130M to $130MNov 8, 2021 to Mar 24, 2022
- RAUM · $130M to $130MNov 8, 2021 to Mar 24, 2022
- Related adviser · true to falseNov 8, 2021 to Mar 24, 2022
- Advisory employees · 4 to 3Mar 26, 2020 to Mar 17, 2021
- Employees · 4 to 3Mar 26, 2020 to Mar 17, 2021
- Discretionary RAUM · $152M to $130MMar 26, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $152M to $130MMar 26, 2020 to Mar 17, 2021
- RAUM · $152M to $130MMar 26, 2020 to Mar 17, 2021
- Advisory employees · 5 to 4Mar 28, 2019 to Mar 26, 2020
- Employees · 5 to 4Mar 28, 2019 to Mar 26, 2020
- Discretionary RAUM · $140M to $152MMar 28, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $140M to $152MMar 28, 2019 to Mar 26, 2020
- RAUM · $140M to $152MMar 28, 2019 to Mar 26, 2020
- Accounts · 3 to 4Mar 19, 2018 to Mar 28, 2019
- Advisory employees · 4 to 5Mar 19, 2018 to Mar 28, 2019
- Pooled vehicle clients · 3 to 4Mar 19, 2018 to Mar 28, 2019
- Employees · 4 to 5Mar 19, 2018 to Mar 28, 2019
- Private funds · 3 to 4Mar 19, 2018 to Mar 28, 2019
- Discretionary RAUM · $124M to $140MMar 19, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $124M to $140MMar 19, 2018 to Mar 28, 2019
- RAUM · $124M to $140MMar 19, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Mar 31, 2017 to Mar 19, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 19, 2018
- HNW clients · unset to 0.0Mar 31, 2017 to Mar 19, 2018
- Individual clients · unset to 0.0Mar 31, 2017 to Mar 19, 2018
- Pension plan clients · unset to 0.0Mar 31, 2017 to Mar 19, 2018
- Pooled vehicle clients · unset to 3.0Mar 31, 2017 to Mar 19, 2018
Signals
1 dated events
- P•••••••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $92.0M)May 2, 2025 · Left the SEC roster · 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
- P••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 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
- 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
Across the graphs
P•••••••• C•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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