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•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since Mar 30, 2012
RAUM
$2.4B
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
32
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Mar 27, 2013$701M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)32 as of Mar 31, 2026
Mar 27, 201310 then
Private funds9 as of Mar 31, 2026
Mar 27, 20131 then
RAUM +34% over the last fiscal year-6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $133MderivedRAUM 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
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, 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
Private funds
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• S••••••••• A••••••••• M••••• F•••• L• | Hedge Fund | $1.3B | 73 | Mar 26, 2020 |
| P•••••• O••••••••• F•••• L• | Hedge Fund | $765M | 57 | Feb 14, 2012 |
| P•••••• C•••••• I•• L••no longer reported | Hedge Fund | $89.6M | 2 | Feb 14, 2012 |
| P•••••• C•••••• I• L••no longer reported | Hedge Fund | $51.8M | 2 | Feb 14, 2012 |
| P•••••• C•••••• I••••••••• L•no longer reported | Hedge Fund | $35.4M | 25 | Feb 14, 2012 |
| C•• H•••••••• L• | Hedge Fund | $30.1M | 41 | Mar 28, 2024 |
| P•••••• R••• E••••• H•••••••• L•• | Real Estate Fund | $13.8M | 13 | Mar 30, 2022 |
| P•••••• C•••••• I• L••no longer reported | Hedge Fund | $11.5M | 2 | Feb 14, 2012 |
| P•••••• C••••• O••••••••• L•• • S••••• B• | Hedge Fund | $8.4M | 10 | Mar 30, 2022 |
| P•••••• C••••• O••••••••• L•• • S••••• A• | Hedge Fund | $6.3M | 13 | Mar 30, 2022 |
| P•••••• C••••• O••••••••• L•• • S••••• D• | Hedge Fund | $2.0M | 4 | Mar 30, 2022 |
| P•••••• C••••• O••••••••• L•• • S••••• F• | Hedge Fund | $1.8M | 8 | Apr 3, 2023 |
| P•••••• E••••••• C•••• S••••••• F•••• L• | Hedge Fund | $0 | 0 | Mar 30, 2021 |
| P•••• L• | Hedge Fund | $0 | 0 | May 31, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D•• V••••• C••••• J• · Managing Membercontrolsince 03/2004 · owns 25% to 50%
- K•••••• E•••• S• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- S••••••••• G•••• · Managing Membercontrolsince 03/2004 · owns 75% or more
- S•••• J•••••• S• · Chief Financial Officercontrolsince 01/2018 · owns less than 5%
- T••••••••• N•••••••• R•• · Chief Compliance Officercontrolsince 07/2010 · owns less than 5%
Related persons
Schedule D 7.A
- C••• G•• L••pooled vehicle sponsorn
- P••• G• •••••••• L••pooled vehicle sponsorn
- P•••••• C•••••• P•••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 18Sep 8, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 18Sep 8, 2025 to Mar 31, 2026
- Employees · 36 to 32Sep 8, 2025 to Mar 31, 2026
- Private funds · 10 to 9Sep 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $2.4BSep 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.8B to $2.4BSep 8, 2025 to Mar 31, 2026
- RAUM · $1.8B to $2.4BSep 8, 2025 to Mar 31, 2026
- Accounts · 18 to 19Mar 28, 2025 to Sep 8, 2025
- Pooled vehicle clients · 18 to 19Mar 28, 2025 to Sep 8, 2025
- Private funds · 9 to 10Mar 28, 2025 to Sep 8, 2025
- Discretionary RAUM · $1.8B to $1.8BMar 28, 2025 to Sep 8, 2025
- Pooled vehicle RAUM · $1.8B to $1.8BMar 28, 2025 to Sep 8, 2025
- RAUM · $1.8B to $1.8BMar 28, 2025 to Sep 8, 2025
- Accounts · 16 to 18May 31, 2024 to Mar 28, 2025
- Pooled vehicle clients · 16 to 18May 31, 2024 to Mar 28, 2025
- Employees · 42 to 36May 31, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 31, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.1B to $1.8BMay 31, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.1B to $1.8BMay 31, 2024 to Mar 28, 2025
- RAUM · $2.1B to $1.8BMay 31, 2024 to Mar 28, 2025
- Private funds · 8 to 9Mar 28, 2024 to May 31, 2024
- Accounts · 15 to 16Jun 1, 2023 to Mar 28, 2024
- Advisory employees · 16 to 11Jun 1, 2023 to Mar 28, 2024
- Pooled vehicle clients · 15 to 16Jun 1, 2023 to Mar 28, 2024
- Assets in custody · unset to 0.0Jun 1, 2023 to Mar 28, 2024
- Employees · 57 to 42Jun 1, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.9B to $2.1BJun 1, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.9B to $2.1BJun 1, 2023 to Mar 28, 2024
- RAUM · $2.9B to $2.1BJun 1, 2023 to Mar 28, 2024
- Accounts · 14 to 15May 12, 2022 to Apr 3, 2023
- Advisory employees · 12 to 16May 12, 2022 to Apr 3, 2023
- Pooled vehicle clients · 14 to 15May 12, 2022 to Apr 3, 2023
- Employees · 62 to 57May 12, 2022 to Apr 3, 2023
- Private funds · 7 to 8May 12, 2022 to Apr 3, 2023
- Discretionary RAUM · $6.8B to $2.9BMay 12, 2022 to Apr 3, 2023
- Pooled vehicle RAUM · $6.8B to $2.9BMay 12, 2022 to Apr 3, 2023
- RAUM · $6.8B to $2.9BMay 12, 2022 to Apr 3, 2023
- Accounts · 9 to 14Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 13 to 12Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 9 to 14Mar 30, 2021 to Mar 30, 2022
Signals
7 dated events
- P•••••• C•••••• M••••••••• L•• reported RAUM $2.4B, up 34% from $1.8B (2025-09-08 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•••••• C•••••• M••••••••• L•• reported RAUM $2.1B, down 29% from $2.9B (2023-06-01 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S Eric Kattan (Chief Operating Officer) appeared on Schedule A of P•••••• C•••••• M••••••••• L••Jun 1, 2023 · Control person joined · fact
- P•••••• C•••••• M••••••••• L•• reported RAUM $2.9B, down 57% from $6.8B (2022-05-12 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- Walter Brendan Sullivan (Chief Operating Officer) no longer on Schedule A of P•••••• C•••••• M••••••••• L•• (listed 2022-05-12, absent 2023-04-03)Apr 3, 2023 · Control person left · inference
- P•••••• C•••••• M••••••••• L•• reported RAUM $8.1B, up 49% from $5.4B (2020-03-26 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- P•••••• C•••••• M••••••••• L•• reported RAUM $5.0B, up 45% from $3.5B (2018-04-23 to 2019-03-28)Mar 28, 2019 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/P••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-546-1180reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
P•••••• C•••••• M••••••••• L•• 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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