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•••• S••••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 13, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$5.2B
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
43
30 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
18
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$5.2B as of Mar 30, 2026
Mar 28, 2013$1.1B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)43 as of Mar 30, 2026
Mar 28, 201322 then
Private funds18 as of Mar 30, 2026
Mar 28, 201312 then
RAUM +11% over the last fiscal year+2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $288MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 18reported
- 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
26 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• A••••••• J••• · Chief Investment Officer, Managing Partnercontrolsince 01/2020 · owns less than 5%
- M••••••••• R•••••• L••••••• · Chief Compliance Officer / General Counselcontrolsince 04/2020 · owns less than 5%
- M••••• R•••••• M••• · Chief Financial Officercontrolsince 03/2006 · owns less than 5%
- P••••• W••••••• D••••• · Chairmancontrolsince 03/2006 · owns less than 5%
- S•••••••• K••••• M•••••• · Chief Executive Officer, Managing Partnercontrolsince 03/2006 · owns less than 5%
- D••••••• A••••••• J••• · Trusteecontrolsince 12/2012 · owns 25% to 50% of E•••• F••••• T••••
- D••••••• A••••••• J••• · Managercontrolsince 09/2021 · owns F of P•••• S••••••• P••••••• F••••••• G•• L••
- P••••• W••••••• D••••• · Managercontrolsince 12/2009 · owns F of P•••• S••••••• P••••••• F••••••• G•• L••
- P••••• W••••••• D••••• · Trusteecontrolsince 10/1994 · owns F of P•••• F••••• T••••
- S•••••••• K••••• M•••••• · Managercontrolsince 12/2009 · owns F of P•••• S••••••• P••••••• F••••••• G•• L••
- S•••••••• K••••• M•••••• · Trusteecontrolsince 01/2020 · owns F of T•• K•••• M• S••••••• R•••••••• T••••
- P••••• S••••• L•••• · Trusteesince 10/1994 · owns F of P•••• F••••• T••••
Entity owners
- P•••• S••••••• P••••••• F•••••••• L••• · Sole Member & Managing Memberdirect · owns 75% or more
- E•••• F••••• T•••• · Memberindirect · owns 25% to 50% of P•••• S••••••• P••••••• F••••••• G•• L••
- E•••• F••••• T•••• · Limited Partnerindirect · owns 25% to 50% of P•••• S••••••• P••••••• F•••••••• L•••
- P•••• F••••• T•••• · Limited Partnerindirect · owns 50% to 75% of P•••• S••••••• P••••••• F•••••••• L•••
- P•••• F••••• T•••• · Memberindirect · owns 50% to 75% of P•••• S••••••• P••••••• F••••••• G•• L••
- P•••• S••••••• P••••••• F••••••• G•• L•• · General Partnerindirect · owns F of P•••• S••••••• P••••••• F•••••••• L•••
- T•• K•••• M• S••••••• R•••••••• T•••• · Limited Partnerindirect · owns 50% to 75% of P•••• S••••••• P••••••• F•••••••• L•••
- T•• K•••• M• S••••••• R•••••••• T•••• · Memberindirect · owns 50% to 75% of P•••• S••••••• P••••••• F••••••• G•• L••
Related persons
Schedule D 7.A
- P•••• • P••••••• C•••••• F••• I•• G•• L•••bankpooled vehicle sponsorn
- P•••• S••••••• F••• C•••• F••• I• G•• L•••bankpooled vehicle sponsorn
- P•••• S••••••• F••• C•••• F••• V• G•• L•••bankpooled vehicle sponsory
- P•••• S••••••• F••• C•••• F••• V• G•• L•••bankpooled vehicle sponsory
Advisers that list P•••• S••••••• P•••••••• L•• as a related person
- 162210 n
Offices
Schedule D 1.F, the 25 largest
- San Mateo, CA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 26 to 30Mar 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.7B to $5.2BMar 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $4.7B to $5.2BMar 30, 2025 to Mar 30, 2026
- RAUM · $4.7B to $5.2BMar 30, 2025 to Mar 30, 2026
- Accounts · 20 to 18Mar 28, 2024 to Mar 30, 2025
- Advisory employees · 30 to 26Mar 28, 2024 to Mar 30, 2025
- Pooled vehicle clients · 20 to 18Mar 28, 2024 to Mar 30, 2025
- Employees · 45 to 43Mar 28, 2024 to Mar 30, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 30, 2025
- Private funds · 20 to 18Mar 28, 2024 to Mar 30, 2025
- Discretionary RAUM · $4.8B to $4.7BMar 28, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $4.8B to $4.7BMar 28, 2024 to Mar 30, 2025
- RAUM · $4.8B to $4.7BMar 28, 2024 to Mar 30, 2025
- Related bank · true to falseMar 28, 2024 to Mar 30, 2025
- Advisory employees · 26 to 30Mar 31, 2023 to Mar 28, 2024
- Employees · 44 to 45Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $4.8B to $4.8BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $4.8B to $4.8BMar 31, 2023 to Mar 28, 2024
- RAUM · $4.8B to $4.8BMar 31, 2023 to Mar 28, 2024
- Accounts · 15 to 20Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 25 to 26Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 15 to 20Mar 30, 2022 to Mar 31, 2023
- Employees · 41 to 44Mar 30, 2022 to Mar 31, 2023
- Private funds · 15 to 20Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.2B to $4.8BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.2B to $4.8BMar 30, 2022 to Mar 31, 2023
- RAUM · $3.2B to $4.8BMar 30, 2022 to Mar 31, 2023
- Accounts · 14 to 15Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 26 to 25Mar 31, 2021 to Mar 30, 2022
- Pooled vehicle clients · 14 to 15Mar 31, 2021 to Mar 30, 2022
- Employees · 39 to 41Mar 31, 2021 to Mar 30, 2022
- Private funds · 14 to 15Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.9B to $3.2BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.9B to $3.2BMar 31, 2021 to Mar 30, 2022
- RAUM · $2.9B to $3.2BMar 31, 2021 to Mar 30, 2022
- Accounts · 15 to 14Apr 13, 2020 to Mar 31, 2021
- Advisory employees · 27 to 26Apr 13, 2020 to Mar 31, 2021
- Pooled vehicle clients · 15 to 14Apr 13, 2020 to Mar 31, 2021
- Employees · 33 to 39Apr 13, 2020 to Mar 31, 2021
- Private funds · 15 to 14Apr 13, 2020 to Mar 31, 2021
Signals
7 dated events
- P•••• S••••••• P•••••••• L•• reported RAUM $4.8B, up 52% from $3.2B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Neuman Christine Schwartz (Trustee) no longer on Schedule A of P•••• S••••••• P•••••••• L•• (listed 2020-04-13, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- John Angelos Dassios (Chief Investment Officer) appeared on Schedule A of P•••• S••••••• P•••••••• L••Mar 31, 2021 · Control person joined · fact
- Lombardi Renata Malavazzi (Chief Compliance Officer / General Counsel) appeared on Schedule A of P•••• S••••••• P•••••••• L••Apr 13, 2020 · Control person joined · fact
- P•••• S••••••• P•••••••• L•• reported RAUM $3.1B, up 26% from $2.4B (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Irving Gerald Adler (Chief Operating Officer And General Counsel And Chief Compliance Officer) no longer on Schedule A of P•••• S••••••• P•••••••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- P•••• S••••••• P•••••••• L•• reported RAUM $2.4B, up 49% from $1.6B (2018-11-12 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•••• S••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••• S••••••• P•••••••• L•• · Private Equityshared crd · organization
- P•••• S••••••• P•••••••• L•• · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Website
- P••••S•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-379-7200reportedpublic record, Form ADV, Mar 30, 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