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••••••• P•••••••• L•••••
Latest filing Mar 31, 2022
First filing on the tape Feb 13, 2012 · 19 filings
RAUM
$7.3M
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
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$7.3M gross assets
History
19 filings and snapshots on the tape
RAUM$7.3M as of Mar 31, 2022
Mar 27, 2013$375M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20130 then
Employees (5.A)9 as of Mar 31, 2022
Mar 27, 201316 then
Private funds1 as of Mar 31, 2022
Mar 27, 20133 then
RAUM -95% over the last fiscal year-68% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
- $7.3MderivedRAUM 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
- -95%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
- $7.3M, 1 clientsreportedItem 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
- 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)
- 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$7.3M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.3M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• P•••••••• L•no longer reported | Private Equity Fund | $7,500 | 27 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• L••••• W•••••• · Elected Managercontrolsince 05/1998 · owns 25% to 50%
- T•••••• R••••••• C••• · Elected Managercontrolsince 05/1998 · owns 25% to 50%
- G•••••••• W••••••• V• · Membersince 05/1998 · owns 25% to 50%
- M•••••• E••• · Member And Chief Compliance Officersince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• P••••••• A••••••• L••investment advisernRAUM $378M
- P••••••• P••••••• M••••••••• G•••• I•• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Nov 17, 2021 to Mar 31, 2022
- Advisory employees · 8 to 9Nov 17, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 1Nov 17, 2021 to Mar 31, 2022
- Assets in custody · $137M to $7.3MNov 17, 2021 to Mar 31, 2022
- Private funds · 2 to 1Nov 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $137M to $7.3MNov 17, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $137M to $7.3MNov 17, 2021 to Mar 31, 2022
- RAUM · $137M to $7.3MNov 17, 2021 to Mar 31, 2022
- Related adviser · false to trueNov 17, 2021 to Mar 31, 2022
- Employees · 10 to 9Jun 29, 2021 to Nov 17, 2021
- Assets in custody · $181M to $137MMar 25, 2020 to Mar 29, 2021
- Employees · 12 to 10Mar 25, 2020 to Mar 29, 2021
- Discretionary RAUM · $181M to $137MMar 25, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $181M to $137MMar 25, 2020 to Mar 29, 2021
- RAUM · $181M to $137MMar 25, 2020 to Mar 29, 2021
- Accounts · 3 to 2Mar 28, 2019 to Mar 25, 2020
- Advisory employees · 9 to 8Mar 28, 2019 to Mar 25, 2020
- Pooled vehicle clients · 3 to 2Mar 28, 2019 to Mar 25, 2020
- Assets in custody · $223M to $181MMar 28, 2019 to Mar 25, 2020
- Employees · 13 to 12Mar 28, 2019 to Mar 25, 2020
- Other offices · 1 to 0Mar 28, 2019 to Mar 25, 2020
- Private funds · 3 to 2Mar 28, 2019 to Mar 25, 2020
- Discretionary RAUM · $223M to $181MMar 28, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $223M to $181MMar 28, 2019 to Mar 25, 2020
- RAUM · $223M to $181MMar 28, 2019 to Mar 25, 2020
- Advisory employees · 14 to 9Mar 29, 2018 to Mar 28, 2019
- Assets in custody · $270M to $223MMar 29, 2018 to Mar 28, 2019
- Employees · 16 to 13Mar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $270M to $223MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $270M to $223MMar 29, 2018 to Mar 28, 2019
- RAUM · $270M to $223MMar 29, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Mar 22, 2018
- Individual clients · unset to 0.0Mar 29, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 3.0Mar 29, 2017 to Mar 22, 2018
- Assets in custody · $322M to $270MMar 29, 2017 to Mar 22, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 22, 2018
- Discretionary RAUM · $322M to $270MMar 29, 2017 to Mar 22, 2018
Signals
2 dated events
- P••••••• P•••••••• L••••• reported RAUM $7.3M, down 95% from $137.0M (2021-11-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C••• Guo H••••• (Chief Compliance Officer/Chief Financial Officer) no longer on Schedule A of P••••••• P•••••••• L••••• (listed 2021-06-01, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P••••••• P•••••••• L••••• · Private Equityshared crd · organization
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