DFX Intelligence
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SEC-registered adviser
P•••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 16, 2012 · 19 filings
SEC status approved since Mar 20, 2012
RAUM
$1.1B
reported, Item 5.F
Discretionary
5.8%
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
10
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 22, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 22, 20130 then
Employees (5.A)10 as of Mar 31, 2026
Mar 22, 20139 then
Private funds1 as of Mar 31, 2026
Mar 30, 20161 then
RAUM -14% over the last fiscal year-5.0% 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
- 5.8%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
- -14%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$961M90%
- Other investment advisers$100M9.4%
- Corporations and businesses$1.1M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
11 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- B•••••••• A•• · Principalcontrolsince 02/2010 · owns less than 5%
- S•••••••• J•••• · Chief Operating Officercontrolsince 02/2010 · owns less than 5%
- B•••••••• A•• · Membercontrolsince 02/2010 · owns 75% or more of P•••• M••••••• L••
- B•••••••• A•• · Membercontrolsince 02/2010 · owns F of P•••• P•••••••• L••
- W•••••• L••••• V••••••• · Chief Compliance Officersince 02/2016 · owns less than 5%
- A••••••• M•••• D•••• · Trusteesince 03/2019 · owns F of T•• B••••••• C••••••••• T••••
- A••••••• M•••• D•••• · Trusteesince 03/2019 · owns F of A••• F••••• T••••
- B•••••••• I•••• M•••• D••••••• · Trusteesince 12/1995 · owns F of T•• B••••••• C••••••••• T••••
Entity owners
- P•••• M••••••• L•• · Memberdirect · owns 5% to 10%
- P•••• P•••••••• L•• · Memberdirect · owns 75% or more
- A••• F••••• P•••••••• L•• · Memberindirect · owns 50% to 75% of P•••• P•••••••• L••
- A••• F••••• T•••• · Owner Of 99% Of A••• F••••• P•••••••• L••indirect · owns 75% or more of A••• F••••• P•••••••• L••
- C•••••••• M••••••••• • B••••••• S••••••• L•••••• ••••• · Trusteeindirect · owns F of A••• F••••• T••••
- T•• B••••••• C••••••••• T•••• · Memberindirect · owns 25% to 50% of P•••• P•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Cedarhurst, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 7 to 8Jan 7, 2026 to Mar 31, 2026
- Advisory employees · 3 to 2Jan 7, 2026 to Mar 31, 2026
- Pooled vehicle clients · 6 to 4Jan 7, 2026 to Mar 31, 2026
- Employees · 11 to 10Jan 7, 2026 to Mar 31, 2026
- Private funds · 3 to 1Jan 7, 2026 to Mar 31, 2026
- Discretionary RAUM · $234M to $61.2MJan 7, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $1.0B to $1.0BJan 7, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $961MJan 7, 2026 to Mar 31, 2026
- RAUM · $1.2B to $1.1BJan 7, 2026 to Mar 31, 2026
- Accounts · 10 to 7Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 8 to 6Mar 28, 2024 to Mar 31, 2025
- Employees · 12 to 11Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 5 to 3Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $276M to $234MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $614M to $1.0BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · 12559984.0 to unsetMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $777M to $1.1BMar 28, 2024 to Mar 31, 2025
- RAUM · $890M to $1.2BMar 28, 2024 to Mar 31, 2025
- Employees · 11 to 12Jun 30, 2023 to Mar 28, 2024
- Private funds · 6 to 5Jun 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $437M to $276MJun 30, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $800M to $614MJun 30, 2023 to Mar 28, 2024
- Pension RAUM · $156M to $12.6MJun 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $980M to $777MJun 30, 2023 to Mar 28, 2024
- RAUM · $1.2B to $890MJun 30, 2023 to Mar 28, 2024
- Accounts · 7 to 10Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 4 to 3Mar 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 5 to 8Mar 29, 2022 to Mar 29, 2023
- Private funds · 4 to 6Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $378M to $437MMar 29, 2022 to Mar 29, 2023
- Pension RAUM · $177M to $156MMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $900M to $980MMar 29, 2022 to Mar 29, 2023
- RAUM · $1.2B to $1.2BMar 29, 2022 to Mar 29, 2023
- Advisory employees · 5 to 4Apr 27, 2021 to Mar 29, 2022
- Employees · 13 to 11Apr 27, 2021 to Mar 29, 2022
- Private funds · 3 to 4Apr 27, 2021 to Mar 29, 2022
- Discretionary RAUM · $508M to $378MApr 27, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $600M to $800MApr 27, 2021 to Mar 29, 2022
- Pension RAUM · $252M to $177MApr 27, 2021 to Mar 29, 2022
Signals
2 dated events
- P•••• A•••••••• L•• reported RAUM $1.2B, up 39% from $890.0M (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P•••• A•••••••• L•• reported RAUM $890.0M, down 28% from $1.2B (2023-06-30 to 2024-03-28)Mar 28, 2024 · 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
- Website
- P••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-688-8800reportedpublic 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