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•••••• M••••••••• L••
Latest filing Mar 30, 2022
First filing on the tape Feb 14, 2012 · 20 filings
RAUM
$282M
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
0
beyond the principal office
Private funds
2
$282M gross assets
History
20 filings and snapshots on the tape
RAUM$282M as of Mar 30, 2022
Mar 27, 2013$8.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 27, 20130 then
Employees (5.A)4 as of Mar 30, 2022
Mar 27, 201325 then
Private funds2 as of Mar 30, 2022
Mar 27, 20134 then
RAUM +11% over the last fiscal year+2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $47.0MderivedRAUM 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
- +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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$282M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• G••• M••••• F•••• L•••no longer reported | Hedge Fund | $2.2B | 170 | Feb 14, 2012 |
| P•••••• W••••••• M••••• F•••• L••• | Hedge Fund | $226M | 283 | Feb 14, 2012 |
| P•••••• C••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $113M | 33 | Feb 14, 2012 |
| P•••••• M••••• F•••• L••• | Hedge Fund | $56.6M | 107 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• A•••• P••••• · Founder, Portfolio Managercontrolsince 07/2001 · owns less than 5%
- P•••••••• M•••• J••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 06/2019 · owns less than 5%
- F•••••••• A•••• P••••• · Limited Partner Of P•••••• C•••••• P•••••••• L• And Managing Member Of P•••••• C•••••• P••••••• •••• L••controlsince 01/2017 · owns 75% or more of P•••••• C•••••• P•••••••• L•
Entity owners
- P•••••• C•••••• P•••••••• L• · Managing Memberdirect · owns 75% or more
- P•••••• C•••••• P••••••• •••• L•• · G•••••• Partnerindirect · owns F of P•••••• C•••••• P•••••••• L•
Related persons
Schedule D 7.A
- P•••••• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $253M to $282MMar 10, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $253M to $282MMar 10, 2021 to Mar 30, 2022
- RAUM · $253M to $282MMar 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $274M to $253MMar 23, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $274M to $253MMar 23, 2020 to Mar 10, 2021
- RAUM · $274M to $253MMar 23, 2020 to Mar 10, 2021
- Other offices · 1 to 0Jun 25, 2019 to Mar 23, 2020
- Discretionary RAUM · $266M to $274MJun 25, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $266M to $274MJun 25, 2019 to Mar 23, 2020
- RAUM · $266M to $274MJun 25, 2019 to Mar 23, 2020
- Advisory employees · 10 to 2Mar 29, 2018 to Mar 27, 2019
- Employees · 19 to 4Mar 29, 2018 to Mar 27, 2019
- Discretionary RAUM · $2.3B to $266MMar 29, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $2.3B to $266MMar 29, 2018 to Mar 27, 2019
- RAUM · $2.3B to $266MMar 29, 2018 to Mar 27, 2019
- Advisory employees · 12 to 10Aug 11, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 6.0Aug 11, 2017 to Mar 29, 2018
- Employees · 23 to 19Aug 11, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Aug 11, 2017 to Mar 29, 2018
- Discretionary RAUM · $4.5B to $2.3BAug 11, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 2335034012.0Aug 11, 2017 to Mar 29, 2018
- RAUM · $4.5B to $2.3BAug 11, 2017 to Mar 29, 2018
- Related bank · true to falseAug 11, 2017 to Mar 29, 2018
- Employees · 24 to 23Mar 27, 2017 to Aug 10, 2017
- Custody of client assets · false to trueFeb 3, 2017 to Mar 27, 2017
- Discretionary RAUM · $6.0B to $4.5BFeb 3, 2017 to Mar 27, 2017
- RAUM · $6.0B to $4.5BFeb 3, 2017 to Mar 27, 2017
- Accounts · 11 to 6Oct 22, 2015 to Mar 30, 2016
- Advisory employees · 14 to 12Oct 22, 2015 to Mar 30, 2016
- Assets in custody · unset to 0.0Oct 22, 2015 to Mar 30, 2016
- Employees · 26 to 24Oct 22, 2015 to Mar 30, 2016
- Private funds · 4 to 2Oct 22, 2015 to Mar 30, 2016
- Discretionary RAUM · $9.9B to $6.0BOct 22, 2015 to Mar 30, 2016
- RAUM · $9.9B to $6.0BOct 22, 2015 to Mar 30, 2016
- Discretionary RAUM · $10B to $9.9BMar 31, 2014 to Mar 26, 2015
- RAUM · $10B to $9.9BMar 31, 2014 to Mar 26, 2015
- Employees · 25 to 26Mar 27, 2013 to Mar 31, 2014
- Discretionary RAUM · $8.5B to $10BMar 27, 2013 to Mar 31, 2014
- RAUM · $8.5B to $10BMar 27, 2013 to Mar 31, 2014
- Advisory employees · unset to 14.0Oct 16, 2012 to Mar 27, 2013
Signals
5 dated events
- Joseph Mark Plevniak (Chief Compliance Officer & Director Of Operations) appeared on Schedule A of P•••••• C•••••• M••••••••• L••Jun 25, 2019 · Control person joined · fact
- Antonio Dominic Giafaglione (Chief Financial Officer / Chief Compliance Officer) no longer on Schedule A of P•••••• C•••••• M••••••••• L•• (listed 2019-03-27, absent 2019-06-25)Jun 25, 2019 · Control person left · inference
- P•••••• C•••••• M••••••••• L•• reported RAUM $266.0M, down 89% from $2.3B (2018-03-29 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Mccann Christine Hamner (Chief Operating Officer) no longer on Schedule A of P•••••• C•••••• M••••••••• L•• (listed 2018-03-29, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- P•••••• C•••••• M••••••••• L•• reported RAUM $2.3B, down 48% from $4.5B (2017-08-11 to 2018-03-29)Mar 29, 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.
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