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•••• C•••••• P••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 158136SEC 801-74011IAPD
Latest filing Mar 29, 2017
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 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$136M as of Mar 21, 2016
Mar 27, 2013$32.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 27, 20130 then
Employees (5.A)7 as of Mar 29, 2017
Mar 27, 201313 then
Private funds1 as of Mar 21, 2016
Mar 27, 20132 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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 businesses and institutions, 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• G•••••• F••• O••••••• L•Hedge Fund$18.5M5Feb 14, 2012
      P•••• A•••••• E••••• F••• O••••••• L•no longer reportedHedge Fund$1.4M2Mar 27, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• K•••• · General Counsel & Ccocontrol
        since 11/2013 · owns less than 5%
      • G••••••••• I••••••• E•••• · Partnercontrol
        since 11/2011 · owns 25% to 50% of P•••• C•••••• P•••••••• L••
      • L•••• G•••• S• · Partnercontrol
        since 11/2011 · owns 25% to 50% of P•••• C•••••• P•••••••• L••
      Entity owners
      • P•••• C•••••• P•••••••• L•• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P•••• C•••••• P••••••• G•• L••
        bankn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3.0 to unset
        Mar 21, 2016 to Mar 29, 2017
      • Assets in custody · 18500000.0 to unset
        Mar 21, 2016 to Mar 29, 2017
      • Custody of client assets · true to false
        Mar 21, 2016 to Mar 29, 2017
      • Employees · 8 to 7
        Mar 21, 2016 to Mar 29, 2017
      • Private funds · 1 to unset
        Mar 21, 2016 to Mar 29, 2017
      • Discretionary RAUM · 18500000.0 to unset
        Mar 21, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · 117400000.0 to unset
        Mar 21, 2016 to Mar 29, 2017
      • RAUM · 135900000.0 to unset
        Mar 21, 2016 to Mar 29, 2017
      • BD registered reps · 5 to 4
        Nov 11, 2015 to Mar 21, 2016
      • Assets in custody · $22.2M to $18.5M
        Nov 11, 2015 to Mar 21, 2016
      • Discretionary RAUM · $21.9M to $18.5M
        Nov 11, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $125M to $117M
        Nov 11, 2015 to Mar 21, 2016
      • RAUM · $147M to $136M
        Nov 11, 2015 to Mar 21, 2016
      • Accounts · 2 to 3
        Mar 30, 2015 to May 19, 2015
      • Discretionary RAUM · $22.2M to $21.9M
        Mar 30, 2015 to May 19, 2015
      • Non-discretionary RAUM · $0 to $125M
        Mar 30, 2015 to May 19, 2015
      • RAUM · $22.2M to $147M
        Mar 30, 2015 to May 19, 2015
      • Accounts · 3 to 2
        Dec 4, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 3
        Dec 4, 2014 to Mar 30, 2015
      • BD registered reps · 6 to 5
        Dec 4, 2014 to Mar 30, 2015
      • Assets in custody · $0 to $22.2M
        Dec 4, 2014 to Mar 30, 2015
      • Employees · 13 to 8
        Dec 4, 2014 to Mar 30, 2015
      • Discretionary RAUM · $32.3M to $22.2M
        Dec 4, 2014 to Mar 30, 2015
      • RAUM · $32.3M to $22.2M
        Dec 4, 2014 to Mar 30, 2015
      • Accounts · 2 to 3
        Mar 27, 2013 to Mar 28, 2014
      • Assets in custody · $38.3M to $0
        Mar 27, 2013 to Mar 28, 2014
      • Private funds · 2 to 1
        Mar 27, 2013 to Mar 28, 2014
      • Discretionary RAUM · $32.5M to $32.3M
        Mar 27, 2013 to Mar 28, 2014
      • RAUM · $32.5M to $32.3M
        Mar 27, 2013 to Mar 28, 2014
      • Advisory employees · unset to 7.0
        Feb 14, 2012 to Mar 27, 2013
      • BD registered reps · unset to 6.0
        Feb 14, 2012 to Mar 27, 2013
      • Business name · P•••• C•••••• P•••••••• L•• to P•••• C•••••• P••••••• M••••••••• L••
        Feb 14, 2012 to Mar 27, 2013
      • Employees · unset to 13.0
        Feb 14, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Legal name · P•••• C•••••• P•••••••• L•• to P•••• C•••••• P••••••• M••••••••• L••
        Feb 14, 2012 to Mar 27, 2013
      • Private funds · 1 to 2
        Feb 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $38.3M to $32.5M
        Feb 14, 2012 to Mar 27, 2013
      • RAUM · $38.3M to $32.5M
        Feb 14, 2012 to Mar 27, 2013
      • Related broker-dealer · false to true
        Feb 14, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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