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•••••• A•••••••• L•••
Latest filing Jul 10, 2026
First filing on the tape Feb 14, 2012 · 46 filings
SEC status approved since Mar 30, 2012
RAUM
$343M
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
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$343M as of Jul 10, 2026
Apr 1, 2013$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 10, 2026
Apr 1, 20130 then
Employees (5.A)14 as of Jul 10, 2026
Apr 1, 201333 then
Private funds15 as of Jul 10, 2026
Apr 1, 201318 then
RAUM +8.2% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 10, 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
- $22.9MderivedRAUM 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
- +8.2%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- 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)
- 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$343M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
32 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• P••••••• V• L••• | Private Equity Fund | $233M | 48 | Feb 14, 2012 |
| P•••••• P••••••• I•• I••••••••• H•••••••• L•••no longer reported | Private Equity Fund | $188M | 21 | Feb 14, 2012 |
| P•••••• P••••••• I• ••••• L•••no longer reported | Private Equity Fund | $180M | 25 | Feb 14, 2012 |
| P••• B••••••• H•••••••• L•no longer reported | Private Equity Fund | $155M | 9 | Apr 1, 2013 |
| P•••••• P••••••• I• I••••••••• H•••••••• L•••no longer reported | Private Equity Fund | $59.1M | 42 | Feb 14, 2012 |
| P•••••• P••••••• I•• L••• | Private Equity Fund | $49.7M | 43 | Feb 14, 2012 |
| P•••••• P••••••• I•• ••••• L•••no longer reported | Private Equity Fund | $49.5M | 10 | Feb 14, 2012 |
| G••• I••••••••• F••• S••• | Private Equity Fund | $36.0M | 4 | Mar 29, 2023 |
| G••••• S••••••••• C•••••• F••• S••• | Private Equity Fund | $30.5M | 5 | Mar 30, 2022 |
| O• H•••••• C• L••no longer reported | Other Private Fund | $29.6M | 4 | Mar 30, 2017 |
| M• I• H••••••• 1• L••no longer reported | Private Equity Fund | $16.8M | 1 | Feb 14, 2012 |
| M• I• H••••••• 2• L••no longer reported | Private Equity Fund | $15.5M | 6 | Feb 14, 2012 |
| P•••••• P••••••• I••• L••• | Private Equity Fund | $12.3M | 21 | Feb 14, 2012 |
| T••• H•••••••• L•• | Private Equity Fund | $7.7M | 13 | Feb 14, 2012 |
| I••• C••••••••• L••no longer reported | Private Equity Fund | $2.3M | 53 | Feb 14, 2012 |
| B••• H•••••••• L••no longer reported | Private Equity Fund | $1.7M | 8 | Feb 14, 2012 |
| P•••••• R•••••• P•••••••• L•••no longer reported | Private Equity Fund | $1.3M | 24 | Feb 14, 2012 |
| P•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $678,966 | 47 | Feb 14, 2012 |
| P•••••• P•••••••• L•••no longer reported | Private Equity Fund | $501,649 | 22 | Feb 14, 2012 |
| U• P•••••• C••••••••• L•• | Private Equity Fund | $482,712 | 4 | Apr 1, 2013 |
| F•••• P•••••••• H•••••••• L••no longer reported | Private Equity Fund | $251,408 | 4 | Mar 28, 2014 |
| P•••••• C• I••••••••• L••no longer reported | Private Equity Fund | $172,002 | 11 | Feb 14, 2012 |
| S•• S••••• H••••• L•• ••••• S••••• M•••• H••••••• L•••no longer reported | Private Equity Fund | $36,022 | 6 | Feb 14, 2012 |
| P•••••• G• L••••••• L••no longer reported | Private Equity Fund | $1,745 | 6 | Feb 14, 2012 |
| L•• H•••••••• L•• | Private Equity Fund | $0 | 4 | Apr 1, 2013 |
| L••• H•••••••• L•• | Private Equity Fund | $0 | 19 | Feb 14, 2012 |
| P•••••• C•••••••• E••••• I•• L•• | Private Equity Fund | $0 | 6 | Feb 14, 2012 |
| U•• H•••••••• L••no longer reported | Private Equity Fund | $0 | 2 | Feb 14, 2012 |
| I•••••• I•••••••• I•• L•no longer reported | Private Equity Fund | $0 | 5 | Feb 14, 2012 |
| T••••••• P•••• L••no longer reported | Private Equity Fund | $0 | 15 | Feb 14, 2012 |
| I•••••• I•••••••• I• L•no longer reported | Private Equity Fund | $0 | 7 | Feb 14, 2012 |
| M•• E••••• M••••• L•no longer reported | Private Equity Fund | $0 | 20 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C••••• C••••• M•••• · Chairman And Ceo & Limited Partnercontrolsince 01/1995 · owns 75% or more
- C••••• D••••• H••••• · Partnercontrolsince 01/2021 · owns less than 5%
- S••••••••• U•••••• E••••••• · Chief Accounting Officercontrolsince 05/2024 · owns less than 5%
- C••••• C••••• M•••• · Sole Membercontrolsince 03/1999 · owns 75% or more of P•••••• C•••••• A••••••• G•• L••
- B••••••••• C••••••••• J••• · Ccosince 07/2023 · owns less than 5%
Entity owners
- P•••••• C•••••• A••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• C•••••• A••••••• I••• L•••investment advisern
- P•••••• C•••••• A••••••• I•• L•••investment advisern
- P•••••• C•••••• A••••••• V• L•••investment advisern
- P•••••• C•••••• G••• A•••••••• L•••pooled vehicle sponsorn
- P•••••• C•••••• S••• A•••••••• L•••pooled vehicle sponsorn
- P•••••• G••• G• S•••pooled vehicle sponsorn
- P•••••• I•••••••• I•• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• I•• G• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• I•• G•• L••pooled vehicle sponsorn
- P•••••• I•••••••• I••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• I• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• I• G• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• I• G•• L••pooled vehicle sponsorn
- P•••••• I•••••••• I•• L•••pooled vehicle sponsorn
- P•••••• I•••••••• V• •••• L••pooled vehicle sponsorn
- P•••••• I•••••••• V• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• V• G• •••• L•••pooled vehicle sponsorn
- P•••••• I•••••••• V• L•••pooled vehicle sponsorn
- P•••••• S••• G• S•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 30, 2026private funds (Schedule D 7.B.1) moved from 9.0 to 15.0 (+67.0%) between the annual amendments of 2025-04-30 and 2026-03-30; the peer median change was 0.0% (735 comparable advisers, 98.0th percentile of changes)peers: asset managers, $100M to $500M (735) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 22 to 15Jan 26, 2026 to Mar 30, 2026
- Advisory employees · 8 to 7Jan 26, 2026 to Mar 30, 2026
- Pooled vehicle clients · 22 to 15Jan 26, 2026 to Mar 30, 2026
- Assets in custody · $707,275 to $0Jan 26, 2026 to Mar 30, 2026
- Custody of client assets · true to falseJan 26, 2026 to Mar 30, 2026
- Employees · 12 to 14Jan 26, 2026 to Mar 30, 2026
- Private funds · 9 to 15Jan 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $276M to $343MJan 26, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $19.9M to $0Jan 26, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $295M to $343MJan 26, 2026 to Mar 30, 2026
- RAUM · $295M to $343MJan 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $298M to $276MJul 30, 2025 to Jan 26, 2026
- Non-discretionary RAUM · $19.9M to $19.9MJul 30, 2025 to Jan 26, 2026
- Pooled vehicle RAUM · $317M to $295MJul 30, 2025 to Jan 26, 2026
- RAUM · $317M to $295MJul 30, 2025 to Jan 26, 2026
- Financial planning clients · unset to Apr 30, 2025 to Jul 30, 2025
- Discretionary RAUM · $366M to $298MMay 24, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $34.9M to $19.9MMay 24, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $401M to $317MMay 24, 2024 to Apr 30, 2025
- RAUM · $401M to $317MMay 24, 2024 to Apr 30, 2025
- Discretionary RAUM · $404M to $366MMar 29, 2024 to May 23, 2024
- Non-discretionary RAUM · $34.8M to $34.9MMar 29, 2024 to May 23, 2024
- Pooled vehicle RAUM · $438M to $401MMar 29, 2024 to May 23, 2024
- RAUM · $438M to $401MMar 29, 2024 to May 23, 2024
- Accounts · 24 to 22Nov 14, 2023 to Mar 29, 2024
- Advisory employees · 10 to 8Nov 14, 2023 to Mar 29, 2024
- Pooled vehicle clients · 13 to 22Nov 14, 2023 to Mar 29, 2024
- Assets in custody · $717,536 to $707,275Nov 14, 2023 to Mar 29, 2024
- Employees · 14 to 12Nov 14, 2023 to Mar 29, 2024
- Private funds · 10 to 9Nov 14, 2023 to Mar 29, 2024
- Discretionary RAUM · $493M to $404MNov 14, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $29.3M to $34.8MNov 14, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $523M to $438MNov 14, 2023 to Mar 29, 2024
- RAUM · $523M to $438MNov 14, 2023 to Mar 29, 2024
- Accounts · 26 to 24Apr 30, 2022 to Mar 29, 2023
- Advisory employees · 14 to 10Apr 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 14 to 13Apr 30, 2022 to Mar 29, 2023
- Assets in custody · $0 to $717,536Apr 30, 2022 to Mar 29, 2023
- Employees · 20 to 14Apr 30, 2022 to Mar 29, 2023
- Private funds · 11 to 10Apr 30, 2022 to Mar 29, 2023
Signals
8 dated events
- Edward Joel Haney (Partner) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2024-03-29, absent 2024-05-23)May 23, 2024 · Control person left · inference
- U••••• S•••••••• (Chief Accounting Officer) appeared on Schedule A of P•••••• C•••••• A•••••••• L•••May 23, 2024 · Control person joined · fact
- Laurence Brian Friedman (Partner, General Counsel & Chief Compliance Officer) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2023-05-01, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- P•••••• C•••••• A•••••••• L••• reported RAUM $932.9M, down 39% from $1.5B (2019-10-04 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- (Nmn) Alec Machiels (Partner) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2019-05-10, absent 2019-10-04)Oct 4, 2019 · Control person left · inference
- Benjamin Daniel Stencel (Chief Financial Officer) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2019-05-10, absent 2019-10-04)Oct 4, 2019 · Control person left · inference
- H. Richard Davis (Partner) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2019-05-10, absent 2019-10-04)Oct 4, 2019 · Control person left · inference
- Louise Anne Frank-Shapiro (Chief Administrative Officer) no longer on Schedule A of P•••••• C•••••• A•••••••• L••• (listed 2019-01-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• A•••••••• L••• · Independent Sponsorsshared crd · capital_provider
- P•••••• C•••••• A•••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pegasus-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- PCALP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-869-4400reportedpublic record, Form ADV, Jul 10, 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