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•• C•••••• M••••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Jan 27, 2012 · 24 filings
SEC status approved since Feb 10, 2012
RAUM
$1.5B
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
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.5B as of Mar 12, 2026
Apr 1, 2013$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Apr 1, 20130 then
Employees (5.A)12 as of Mar 12, 2026
Apr 1, 201317 then
Private funds1 as of Mar 12, 2026
Apr 1, 20131 then
RAUM +7.5% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $1.5BderivedRAUM 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
- +7.5%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
- 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$1.5B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• I••••••••• P•••••••• L••• | Hedge Fund | $2.8B | 85 | Jan 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• W••••••• D•••• · Vice President Of Financecontrolsince 01/2012 · owns less than 5%
- R•••••• P•••• A•••••••• · Shareholder/Presidentcontrolsince 05/1992 · owns 75% or more
- S••••• S•••••• M•••••• · Shareholder / Chief Operating Officer, General Counsel And Chief Compliance Officercontrolsince 11/2010 · owns 5% to 10%
- Z•••••• M•••• D••••• · Shareholder/Vice Presidentcontrolsince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- P•• G•••• I•• L•••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 13 to 12Jun 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.4B to $1.5BJun 12, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $1.4B to $1.5BJun 12, 2025 to Mar 12, 2026
- RAUM · $1.4B to $1.5BJun 12, 2025 to Mar 12, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jun 12, 2025
- Discretionary RAUM · $2.8B to $1.4BMar 28, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.8B to $1.4BMar 28, 2024 to Mar 26, 2025
- RAUM · $2.8B to $1.4BMar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.1B to $2.8BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.1B to $2.8BMar 31, 2023 to Mar 28, 2024
- RAUM · $2.1B to $2.8BMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.6B to $2.1BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.6B to $2.1BMar 31, 2022 to Mar 31, 2023
- RAUM · $2.6B to $2.1BMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.7B to $2.6BMar 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.7B to $2.6BMar 29, 2021 to Mar 31, 2022
- RAUM · $1.7B to $2.6BMar 29, 2021 to Mar 31, 2022
- Advisory employees · 9 to 7Mar 30, 2020 to Jan 7, 2021
- Employees · 16 to 13Mar 30, 2020 to Jan 7, 2021
- Discretionary RAUM · $2.3B to $1.7BMar 30, 2020 to Jan 7, 2021
- Pooled vehicle RAUM · $2.3B to $1.7BMar 30, 2020 to Jan 7, 2021
- RAUM · $2.3B to $1.7BMar 30, 2020 to Jan 7, 2021
- Advisory employees · 10 to 9Jan 9, 2020 to Mar 30, 2020
- Employees · 17 to 16Jan 9, 2020 to Mar 30, 2020
- Advisory employees · 11 to 10Mar 29, 2019 to Jan 9, 2020
- Employees · 19 to 17Mar 29, 2019 to Jan 9, 2020
- Discretionary RAUM · $5.3B to $2.3BMar 29, 2019 to Jan 9, 2020
- Pooled vehicle RAUM · $5.3B to $2.3BMar 29, 2019 to Jan 9, 2020
- RAUM · $5.3B to $2.3BMar 29, 2019 to Jan 9, 2020
- Advisory employees · 14 to 11Mar 29, 2018 to Jan 16, 2019
- Employees · 23 to 19Mar 29, 2018 to Jan 16, 2019
- Discretionary RAUM · $6.4B to $5.3BMar 29, 2018 to Jan 16, 2019
- Pooled vehicle RAUM · $6.4B to $5.3BMar 29, 2018 to Jan 16, 2019
- RAUM · $6.4B to $5.3BMar 29, 2018 to Jan 16, 2019
- Charity clients · unset to 0.0Mar 30, 2017 to Jan 19, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Jan 19, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Jan 19, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Jan 19, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Jan 19, 2018
- Pooled vehicle clients · unset to 1.0Mar 30, 2017 to Jan 19, 2018
Signals
9 dated events
- P•• C•••••• M••••••••• I••• reported RAUM $1.4B, down 52% from $2.8B (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- P•• C•••••• M••••••••• I••• reported RAUM $2.8B, up 36% from $2.1B (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- P•• C•••••• M••••••••• I••• reported RAUM $2.6B, up 56% from $1.7B (2021-03-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P•• C•••••• M••••••••• I••• reported RAUM $1.7B, down 28% from $2.3B (2020-03-30 to 2021-01-07)Jan 7, 2021 · RAUM change · derived
- James Michael Tucker (Shareholder/Vice President) no longer on Schedule A of P•• C•••••• M••••••••• I••• (listed 2020-03-30, absent 2021-01-07)Jan 7, 2021 · Control person left · inference
- Matthew John Buchanan (Shareholder/Vice President) no longer on Schedule A of P•• C•••••• M••••••••• I••• (listed 2020-03-30, absent 2021-01-07)Jan 7, 2021 · Control person left · inference
- Peter Kevin Grasmick (Shareholder/Vice President) no longer on Schedule A of P•• C•••••• M••••••••• I••• (listed 2020-03-30, absent 2021-01-07)Jan 7, 2021 · Control person left · inference
- Daniel Marc Zimman (Shareholder/Vice President) appeared on Schedule A of P•• C•••••• M••••••••• I•••Jan 7, 2021 · Control person joined · fact
- P•• C•••••• M••••••••• I••• reported RAUM $2.3B, down 57% from $5.3B (2019-03-29 to 2020-01-09)Jan 9, 2020 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/580909reportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 6175268990reportedpublic record, Form ADV, Mar 12, 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