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P•••• C•••••• M••••••••• I•••

Asset manager (funds and pooled vehicles)SEC-registered4 private funds

Asset manager (funds and pooled vehicles), reporting $321M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$321M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
-7.8%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 157871 · SEC 801-73195 · 16 filingsShow
CRD 157871SEC 801-73195First filing on the tape Feb 8, 2012, latest Mar 4, 2026SEC status approved since Feb 15, 2012IAPD
RAUM
$321M
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$321M as of Mar 4, 2026
Mar 12, 2013$658M then
HNW client RAUM$0 as of Mar 4, 2026
Mar 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 4, 2026
Mar 12, 20131 then
Employees (5.A)4 as of Mar 4, 2026
Mar 12, 20134 then
Private funds4 as of Mar 4, 2026
Mar 12, 20135 then
RAUM -7.8% over the last fiscal year-8.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 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
$64.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.8%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$284M, 4 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$284M88%
  • Investment companies$37.0M12%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$284M for 4 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=true 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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• F••• • Q• F••• L•Hedge Fund$153M41Feb 8, 2012
      P•••• F••• Q•••••••• F••• L•Hedge Fund$105M84Feb 8, 2012
      P•••• F••• Q•••••••• • Q• F••• L•Hedge Fund$97.0M51Feb 8, 2012
      P•••• F••• F••• L•Hedge Fund$90.1M47Feb 8, 2012
      P•••• F••• A•• L•no longer reportedHedge Fund$11.1M64Feb 8, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• M••••••• L••• · Presidentcontrol
        since 04/1997 · owns 75% or more
      • H•••••• W•••• L•• · Chief Compliance Officer
        since 02/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • P•••• A•••• M••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $313M to $284M
        Mar 10, 2025 to Mar 4, 2026
      • Discretionary RAUM · $348M to $321M
        Mar 10, 2025 to Mar 4, 2026
      • Pooled vehicle RAUM · $313M to $284M
        Mar 10, 2025 to Mar 4, 2026
      • RAUM · $348M to $321M
        Mar 10, 2025 to Mar 4, 2026
      • Assets in custody · $445M to $313M
        Mar 6, 2024 to Mar 10, 2025
      • Financial planning clients · unset to
        Mar 6, 2024 to Mar 10, 2025
      • HQ city · unset to
        Mar 6, 2024 to Mar 10, 2025
      • HQ state · unset to
        Mar 6, 2024 to Mar 10, 2025
      • Discretionary RAUM · $523M to $348M
        Mar 6, 2024 to Mar 10, 2025
      • Pooled vehicle RAUM · $445M to $313M
        Mar 6, 2024 to Mar 10, 2025
      • RAUM · $523M to $348M
        Mar 6, 2024 to Mar 10, 2025
      • Assets in custody · $304M to $445M
        Mar 7, 2023 to Mar 6, 2024
      • State-registered IARs · 1 to 0
        Mar 7, 2023 to Mar 6, 2024
      • Discretionary RAUM · $424M to $523M
        Mar 7, 2023 to Mar 6, 2024
      • Pooled vehicle RAUM · $304M to $445M
        Mar 7, 2023 to Mar 6, 2024
      • RAUM · $424M to $523M
        Mar 7, 2023 to Mar 6, 2024
      • Assets in custody · $497M to $304M
        Mar 28, 2022 to Mar 7, 2023
      • Discretionary RAUM · $708M to $424M
        Mar 28, 2022 to Mar 7, 2023
      • Pooled vehicle RAUM · $497M to $304M
        Mar 28, 2022 to Mar 7, 2023
      • RAUM · $708M to $424M
        Mar 28, 2022 to Mar 7, 2023
      • Assets in custody · $808M to $497M
        Mar 11, 2021 to Mar 28, 2022
      • Discretionary RAUM · $1.0B to $708M
        Mar 11, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $808M to $497M
        Mar 11, 2021 to Mar 28, 2022
      • RAUM · $1.0B to $708M
        Mar 11, 2021 to Mar 28, 2022
      • Assets in custody · $245M to $808M
        Mar 6, 2020 to Mar 11, 2021
      • Discretionary RAUM · $277M to $1.0B
        Mar 6, 2020 to Mar 11, 2021
      • Pooled vehicle RAUM · $245M to $808M
        Mar 6, 2020 to Mar 11, 2021
      • RAUM · $277M to $1.0B
        Mar 6, 2020 to Mar 11, 2021
      • Assets in custody · $254M to $245M
        Feb 26, 2019 to Mar 6, 2020
      • Discretionary RAUM · $281M to $277M
        Feb 26, 2019 to Mar 6, 2020
      • Pooled vehicle RAUM · $254M to $245M
        Feb 26, 2019 to Mar 6, 2020
      • RAUM · $281M to $277M
        Feb 26, 2019 to Mar 6, 2020
      • Assets in custody · $434M to $254M
        Mar 15, 2018 to Feb 26, 2019
      • Discretionary RAUM · $500M to $281M
        Mar 15, 2018 to Feb 26, 2019
      • Pooled vehicle RAUM · $434M to $254M
        Mar 15, 2018 to Feb 26, 2019
      • RAUM · $500M to $281M
        Mar 15, 2018 to Feb 26, 2019
      • Charity clients · unset to 0.0
        Mar 7, 2017 to Mar 15, 2018
      • Corporate clients · unset to 0.0
        Mar 7, 2017 to Mar 15, 2018
      • HNW clients · unset to 0.0
        Mar 7, 2017 to Mar 15, 2018
      • Individual clients · unset to 0.0
        Mar 7, 2017 to Mar 15, 2018
      Signals
      6 dated events
      • ••• Locked
        Mar 10, 2025 · RAUM change · derived
      • ••• Locked
        Mar 7, 2023 · RAUM change · derived
      • ••• Locked
        Mar 28, 2022 · RAUM change · derived
      • ••• Locked
        Mar 11, 2021 · RAUM change · derived
      • ••• Locked
        Feb 26, 2019 · RAUM change · derived
      • ••• Locked
        Mar 15, 2018 · RAUM change · derived
      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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 4, 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