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••••••
Wealth manager with institutional or fund businessCarlsbad, New MexicoCRD 158540SEC 801-120968websiteIAPD
Legal name P••••• C••••••• L••
Latest filing Apr 14, 2026
First filing on the tape Mar 26, 2021 · 18 filings
SEC status approved since Apr 26, 2021
RAUM
$287M
reported, Item 5.F
Discretionary
57%
of RAUM
Private clients
33%
$94.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$95.7M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$287M as of Apr 14, 2026
Mar 31, 2022$159M then
HNW client RAUM$93.3M as of Apr 14, 2026
Mar 31, 2022$69.6M then
State-registered IARs (5.B.3)3 as of Apr 14, 2026
Mar 31, 20224 then
Employees (5.A)5 as of Apr 14, 2026
Mar 31, 20227 then
Private funds6 as of Apr 14, 2026
Mar 31, 20222 then
RAUM +32% over the last fiscal year+41% a year over threeIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Apr 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $95.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 57%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +36%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $22.1M, 3 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$145M51%
- High-net-worth individuals$93.3M33%
- Investment companies$47.1M16%
- Individuals$1.6M0.5%
- Individual clients
- 14reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 71reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.1M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.33 fund_share=0.67 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••••• P•••••Chartered Financial Analyst | Carlsbad, Nm | Aug 29, 2012 | 17 y | 0 |
| A•••••••• B•••••••• | Houston, Tx | Sep 3, 2021 | 13 y | 0 |
| M•••••• E••••• C••••• | Carlsbad, Nm | Jan 2, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• C•••••• S••••••••• C••••• O••••••••• F•••• L•• | Hedge Fund | $27.4M | 24 | Mar 26, 2021 |
| S•• S••• F•••••• L•• | Private Equity Fund | $25.9M | 24 | Mar 31, 2023 |
| S••••••••• E••••• F••• I• L•• | Private Equity Fund | $9.4M | 23 | Mar 31, 2023 |
| S•• R••• F••••••• L•• | Private Equity Fund | $7.4M | 14 | Mar 31, 2023 |
| P••••• C•••••• P•••••• F•••• L•• | Hedge Fund | $5.2M | 4 | Mar 31, 2022 |
| P••••• C•••••• S•••••• O••••••••• I• L•• | Private Equity Fund | $1.4M | 13 | Mar 28, 2024 |
| S•• E••••• F••••••• L•• | Private Equity Fund | $245,000 | 1 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• M••••••• D•••••• · President And Chief Executive Officer | Managing Membercontrolsince 06/2011 · owns 75% or more
- L•••• J•••••• T•••• · Chief Compliance Officersince 02/2024 · owns less than 5%
Related persons
Schedule D 7.A
- P••••• C•••••• P•••••••• L••bankpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Nm · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $207M to $164MMar 27, 2026 to Apr 14, 2026
- HNW RAUM · $136M to $93.3MMar 27, 2026 to Apr 14, 2026
- RAUM · $330M to $287MMar 27, 2026 to Apr 14, 2026
- Accounts · 55 to 71Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 5 to 2Mar 28, 2025 to Mar 27, 2026
- HNW clients · 32 to 50Mar 28, 2025 to Mar 27, 2026
- Individual clients · 15 to 14Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 7 to 6Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $27.4M to $22.1MMar 28, 2025 to Mar 27, 2026
- Employees · 7 to 5Mar 28, 2025 to Mar 27, 2026
- HQ city · SCOTTSDALE to CARLSBADMar 28, 2025 to Mar 27, 2026
- HQ state · AZ to NMMar 28, 2025 to Mar 27, 2026
- Other offices · 1 to 0Mar 28, 2025 to Mar 27, 2026
- Private funds · 7 to 6Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $147M to $207MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $84.1M to $136MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $2.1M to $1.6MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $70.3M to $123MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $97.9M to $145MMar 28, 2025 to Mar 27, 2026
- RAUM · $217M to $330MMar 28, 2025 to Mar 27, 2026
- Related bank · true to falseMar 28, 2025 to Mar 27, 2026
- Accounts · 82 to 55Oct 16, 2024 to Mar 28, 2025
- HNW clients · 33 to 32Oct 16, 2024 to Mar 28, 2025
- Individual clients · 6 to 15Oct 16, 2024 to Mar 28, 2025
- Assets in custody · $36.9M to $27.4MOct 16, 2024 to Mar 28, 2025
- Employees · 6 to 7Oct 16, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Oct 16, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 3Oct 16, 2024 to Mar 28, 2025
- Other offices · 2 to 1Oct 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $118M to $147MOct 16, 2024 to Mar 28, 2025
- HNW RAUM · $80.0M to $84.1MOct 16, 2024 to Mar 28, 2025
- Individual RAUM · $1.2M to $2.1MOct 16, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $42.8M to $70.3MOct 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $79.8M to $97.9MOct 16, 2024 to Mar 28, 2025
- RAUM · $161M to $217MOct 16, 2024 to Mar 28, 2025
- HQ city · RANCHO SANTA FE to SCOTTSDALEJul 17, 2024 to Oct 16, 2024
- HQ state · CA to AZJul 17, 2024 to Oct 16, 2024
- Accounts · 69 to 82Sep 1, 2023 to Mar 28, 2024
- HNW clients · 52 to 33Sep 1, 2023 to Mar 28, 2024
- Individual clients · 12 to 6Sep 1, 2023 to Mar 28, 2024
Signals
5 dated events
- P••••• C•••••• reported RAUM $329.8M, up 52% from $217.4M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Eissey Michael Ciklin (Portfolio Manager | Chief Compliance Officer) no longer on Schedule A of P••••• C•••••• (listed 2023-09-01, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M••••• J•••• S••••• (Head Of Business Development And Chief Compliance Officer) no longer on Schedule A of P••••• C•••••• (listed 2022-06-06, absent 2022-10-03)Oct 3, 2022 · Control person left · inference
- M••••• J•••• S••••• (Head Of Business Development And Chief Compliance Officer) appeared on Schedule A of P••••• C••••••Jul 8, 2021 · Control person joined · fact
- P••••• C•••••• filed its initial SEC registration (Form ADV)Mar 26, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- P••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 575-725-1978reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/perinicapitalllc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 575-725-1978reportedpublic record, Form ADV, Apr 14, 2026
- Team page
- perinicapital.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $95.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026