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••••••• I••••••••• A•••••••• I•••
Latest filing Feb 20, 2019
First filing on the tape Feb 13, 2012 · 10 filings
RAUM
$131M
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
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$131M gross assets
History
10 filings and snapshots on the tape
RAUM$131M as of Feb 20, 2019
Feb 4, 2013$183M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 20, 2019
Feb 4, 20132 then
Employees (5.A)6 as of Feb 20, 2019
Feb 4, 20138 then
Private funds9 as of Feb 20, 2019
Feb 4, 20136 then
RAUM -1.0% over the last fiscal year-5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 20, 2019; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM 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
- $14.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 vehiclesreportedItem 5.G
- Custody
- $860,928, 9 clientsreportedItem 9.A
- 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$131M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $860,928 for 9 clientsreported
- 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• H••••••• 8• L•• | Real Estate Fund | $18.0M | 2 | Mar 4, 2021 |
| P••••••• H••••••• 9• L•• | Real Estate Fund | $16.0M | 11 | Mar 18, 2022 |
| P••••••• H••••••• V• L•• | Real Estate Fund | $14.1M | 16 | Feb 13, 2012 |
| P••••••• H••••••• I•• L•• | Real Estate Fund | $11.7M | 17 | Feb 13, 2012 |
| P••••••• H•••••••• L•• | Real Estate Fund | $6.1M | 2 | Feb 13, 2012 |
| P• C•••• B•••••• L•• | Real Estate Fund | $4.7M | 6 | Mar 18, 2022 |
| P• H••••••• L•• | Real Estate Fund | $4.5M | 16 | Mar 4, 2021 |
| P• S•••••• C••••• L•• | Real Estate Fund | $3.7M | 13 | Mar 18, 2022 |
| P••••••• H••••••• I••• L•• | Real Estate Fund | $2.9M | 10 | Feb 13, 2012 |
| P••••••• H••••••• V•• L•• | Real Estate Fund | $1.5M | 9 | Feb 13, 2012 |
| P• H•••••• 2• L•• | Real Estate Fund | $751,230 | 2 | Mar 13, 2023 |
| P• R••••••••• L•• | Real Estate Fund | $534,328 | 19 | Feb 12, 2015 |
| P• D••••••• S••••• L•• | Real Estate Fund | $422,306 | 10 | Feb 4, 2016 |
| P• A••••••••• L•• | Real Estate Fund | $341,163 | 14 | Feb 4, 2016 |
| P••••••• H••••••• V••• L•• | Real Estate Fund | $230,195 | 1 | Feb 4, 2013 |
| P• W••• R••••• L•• | Real Estate Fund | $23,217 | 11 | Feb 16, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••••• B•••••• · Presidentcontrolsince 06/2010 · owns 50% to 75%
- B••••• R•••••• L•••• · Chairmancontrolsince 06/2010 · owns 50% to 75%
- C•••• D••••• M••• · Chief Compliance Officer / Chief Financial Officercontrolsince 07/2011 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• I••••••••• A•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 9Feb 21, 2018 to Feb 20, 2019
- Pooled vehicle clients · 10 to 9Feb 21, 2018 to Feb 20, 2019
- Assets in custody · $1.4M to $860,928Feb 21, 2018 to Feb 20, 2019
- Private funds · 10 to 9Feb 21, 2018 to Feb 20, 2019
- Discretionary RAUM · $133M to $131MFeb 21, 2018 to Feb 20, 2019
- Pooled vehicle RAUM · $133M to $131MFeb 21, 2018 to Feb 20, 2019
- RAUM · $133M to $131MFeb 21, 2018 to Feb 20, 2019
- Advisory employees · 2 to 1Feb 16, 2017 to Feb 21, 2018
- Charity clients · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- Corporate clients · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- HNW clients · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- Individual clients · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- Pension plan clients · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- Pooled vehicle clients · unset to 10.0Feb 16, 2017 to Feb 21, 2018
- Assets in custody · $512,412 to $1.4MFeb 16, 2017 to Feb 21, 2018
- Employees · 9 to 6Feb 16, 2017 to Feb 21, 2018
- State-registered IARs · 2 to 1Feb 16, 2017 to Feb 21, 2018
- Other offices · unset to 0.0Feb 16, 2017 to Feb 21, 2018
- Discretionary RAUM · $152M to $133MFeb 16, 2017 to Feb 21, 2018
- Pooled vehicle RAUM · unset to 132639412.0Feb 16, 2017 to Feb 21, 2018
- RAUM · $152M to $133MFeb 16, 2017 to Feb 21, 2018
- Accounts · 9 to 10Feb 4, 2016 to Feb 16, 2017
- Assets in custody · $1.2M to $512,412Feb 4, 2016 to Feb 16, 2017
- Private funds · 9 to 10Feb 4, 2016 to Feb 16, 2017
- Discretionary RAUM · $158M to $152MFeb 4, 2016 to Feb 16, 2017
- RAUM · $158M to $152MFeb 4, 2016 to Feb 16, 2017
- Accounts · 7 to 9Feb 12, 2015 to Feb 4, 2016
- Assets in custody · $575,872 to $1.2MFeb 12, 2015 to Feb 4, 2016
- Private funds · 7 to 9Feb 12, 2015 to Feb 4, 2016
- Discretionary RAUM · $124M to $158MFeb 12, 2015 to Feb 4, 2016
- RAUM · $124M to $158MFeb 12, 2015 to Feb 4, 2016
- Accounts · 6 to 7Feb 19, 2014 to Feb 12, 2015
- Assets in custody · $323,253 to $575,872Feb 19, 2014 to Feb 12, 2015
- Employees · 8 to 9Feb 19, 2014 to Feb 12, 2015
- Private funds · 6 to 7Feb 19, 2014 to Feb 12, 2015
- Discretionary RAUM · $154M to $124MFeb 19, 2014 to Feb 12, 2015
- RAUM · $154M to $124MFeb 19, 2014 to Feb 12, 2015
- Advisory employees · 3 to 2Feb 4, 2013 to Feb 19, 2014
- Assets in custody · $15.5M to $323,253Feb 4, 2013 to Feb 19, 2014
- Discretionary RAUM · $183M to $154MFeb 4, 2013 to Feb 19, 2014
Signals
No event on the tape.
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/1829701reportedpublic record, Form ADV, Sep 18, 2026
- Website
- PIAINC.NETreportedpublic record, Form ADV, Sep 18, 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••••••• I••••••••• A•••••••• I••• 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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