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•••••• G••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157242SEC 801-72311IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 22, 2012 · 10 filings
RAUM
$23B
reported, Item 5.F
Discretionary
25%
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
65
48 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$23B as of Mar 30, 2015
Sep 28, 2012$20B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Sep 28, 20120 then
Employees (5.A)65 as of Mar 30, 2015
Mar 28, 201339 then
Private funds1 as of Mar 31, 2014
Mar 28, 20131 then
RAUM +13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$408MderivedRAUM over accounts (5.F.2.f)
Discretionary
25%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
56reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• M••••••••• L••••• A••••••••• M••••• F•••• L••Hedge Fund$50.3M1Mar 6, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• S•••••• A• · Senior Vice Presidentcontrol
        since 03/2011 · owns less than 5%
      • G•••••• A•••••• S•••• · Chief Financial Officercontrol
        since 06/2012 · owns less than 5%
      • O••••• D••••• A•••••• · Managing Directorcontrol
        since 07/2011 · owns less than 5%
      • S•••••• R•••••• L•••• · Chief Compliance Officer And General Counselcontrol
        since 08/2011 · owns less than 5%
      • T•••• K••••• T•••• · Presidentcontrol
        since 03/2011 · owns less than 5%
      Entity owners
      • P•••••• L••• I•••••••• C•••••• · Managing Member Of Applicant
        direct · owns 75% or more
      • P•••••• L••••••• · Parent
        indirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
      • P•••••• M••••• H•••••• C•••••• · Parent
        indirect · owns 75% or more of P•••••• L•••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Newport Beach, CA
      What changed
      consecutive filings, newest first
      • Advisory employees · 50 to 48
        Jul 30, 2014 to Mar 30, 2015
      • Employees · 70 to 65
        Jul 30, 2014 to Mar 30, 2015
      • Discretionary RAUM · $4.7B to $5.7B
        Jul 30, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $17B to $17B
        Jul 30, 2014 to Mar 30, 2015
      • RAUM · $21B to $23B
        Jul 30, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $16B to $17B
        Jul 9, 2014 to Jul 30, 2014
      • RAUM · $20B to $21B
        Jul 9, 2014 to Jul 30, 2014
      • Accounts · 52 to 56
        Jul 9, 2014 to Jul 30, 2014
      • Advisory employees · 22 to 50
        Jul 9, 2014 to Jul 30, 2014
      • Advisory activities · 4 to 3
        Jul 9, 2014 to Jul 30, 2014
      • Assets in custody · 50304637.0 to unset
        Jul 9, 2014 to Jul 30, 2014
      • Custody of client assets · true to false
        Jul 9, 2014 to Jul 30, 2014
      • Employees · 68 to 70
        Jul 9, 2014 to Jul 30, 2014
      • Private funds · 1 to unset
        Jul 9, 2014 to Jul 30, 2014
      • Discretionary RAUM · $3.7B to $4.7B
        Jul 9, 2014 to Jul 30, 2014
      • Employees · 49 to 68
        Mar 31, 2014 to Jul 9, 2014
      • Assets in custody · $50.0M to $50.3M
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 39 to 49
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.4B to $3.7B
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $16B to $16B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $19B to $20B
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 55 to 52
        Dec 21, 2012 to Mar 6, 2013
      • Advisory activities · 3 to 4
        Dec 21, 2012 to Mar 6, 2013
      • Assets in custody · unset to 50000000.0
        Dec 21, 2012 to Mar 6, 2013
      • Custody of client assets · false to true
        Dec 21, 2012 to Mar 6, 2013
      • Private funds · unset to 1
        Dec 21, 2012 to Mar 6, 2013
      • Discretionary RAUM · $3.3B to $3.4B
        Dec 21, 2012 to Mar 6, 2013
      • Non-discretionary RAUM · $16B to $16B
        Dec 21, 2012 to Mar 6, 2013
      • RAUM · $19B to $19B
        Dec 21, 2012 to Mar 6, 2013
      • Employees · 36 to 39
        Nov 2, 2012 to Dec 21, 2012
      • Accounts · 36 to 55
        Sep 28, 2012 to Nov 2, 2012
      • Advisory employees · unset to 22.0
        Sep 28, 2012 to Nov 2, 2012
      • BD registered reps · unset to 0.0
        Sep 28, 2012 to Nov 2, 2012
      • Employees · unset to 36.0
        Sep 28, 2012 to Nov 2, 2012
      • Discretionary RAUM · $3.4B to $3.3B
        Sep 28, 2012 to Nov 2, 2012
      • Non-discretionary RAUM · $17B to $16B
        Sep 28, 2012 to Nov 2, 2012
      • RAUM · $20B to $19B
        Sep 28, 2012 to Nov 2, 2012
      • Accounts · 39 to 36
        Mar 22, 2012 to Sep 28, 2012
      • Discretionary RAUM · $2.9B to $3.4B
        Mar 22, 2012 to Sep 28, 2012
      • Non-discretionary RAUM · $13B to $17B
        Mar 22, 2012 to Sep 28, 2012
      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.
      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