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•••••• G••••• L••
Latest filing Mar 16, 2026
First filing on the tape Mar 28, 2012 · 28 filings
SEC status approved since Oct 7, 2011
RAUM
$630M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
1.0%
$6.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
6
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$630M as of Mar 16, 2026
Mar 28, 2012$267M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 28, 20120 then
Employees (5.A)22 as of Mar 16, 2026
Apr 1, 201314 then
Private funds6 as of Mar 16, 2026
Mar 28, 20121 then
RAUM -41% over the last fiscal year-17% a year over threeIARs 0 to 0offices 2 to 4
Practice profile
derived from the filing of Mar 16, 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
- $89.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -41%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 individuals, 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)
- 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$623M99%
- Individuals$6.6M1.0%
- Individual clients
- 1reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• C•••••• P••••••• I••••• L• | Private Equity Fund | $295M | 67 | Nov 6, 2015 |
| P••••• C•••••• P••••••• I•••• L• | Private Equity Fund | $224M | 42 | Mar 24, 2020 |
| P••••• C•••••• P••••••• I••• L• | Private Equity Fund | $217M | 38 | Apr 1, 2013 |
| P••••• C•••••• P••••••• I•• L• | Private Equity Fund | $200M | 24 | Mar 24, 2020 |
| P••••• C•••••• P••••••• I•••• L• | Private Equity Fund | $118M | 33 | Mar 28, 2012 |
| P••••• C•••••• P•••••••• L• | Private Equity Fund | $37.1M | 27 | Nov 6, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• R••••• · Manager, Vice Presidentcontrolsince 09/2011 · owns 10% to 25%
- F••••••• K•••••••• D•••• · Chief Financial Officer, Chief Compliance Officercontrolsince 09/2011 · owns less than 5%
- G•••••••• J•••• A•• · Vice Presidentcontrolsince 06/2012 · owns less than 5%
- K••••••••• A•••• V••••••••• · Vice Presidentcontrolsince 06/2017 · owns less than 5%
- P•••••••• J••••• W•••••• · Vice Presidentcontrolsince 09/2011 · owns 5% to 10%
- Y••••••••• K•••••••• C••••• · Manager, Presidentcontrolsince 09/2011 · owns 50% to 75%
- Y••••••••• K•••••••• C••••• · Shareholdercontrolsince 07/2015 · owns 75% or more of P••••• I•••••••• A••••••••• L••
Entity owners
- P••••• I•••••••• A••••••••• L•• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- D• I••••••••• P•••••••• L••pooled vehicle sponsorn
- P••••• C•••••• G•••• G•• L••pooled vehicle sponsorn
- P••••• C•••••• G•••• I•••• L••pooled vehicle sponsorn
- P••••• C•••••• G•••• I•• L••investment advisern
- P••••• C•••••• P••••••• G• I••••• L••pooled vehicle sponsorn
- P••••• C•••••• P••••••• G• I••• L••pooled vehicle sponsorn
- P••••• C•••••• P••••••• G• I•••• L••pooled vehicle sponsorn
- P••••• C•••••• P••••••• G• I•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX7 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $1,070,599,316 to $629,619,525 (-41.0%) between the annual amendments of 2025-03-14 and 2026-03-16; the peer median change was +8.0% (673 comparable advisers, 3.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 2.7% percentile
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Oct 15, 2025 to Mar 16, 2026
- Employees · 21 to 22Oct 15, 2025 to Mar 16, 2026
- Discretionary RAUM · $1.1B to $623MOct 15, 2025 to Mar 16, 2026
- Individual RAUM · $8.0M to $6.6MOct 15, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $8.0M to $6.6MOct 15, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $1.1B to $623MOct 15, 2025 to Mar 16, 2026
- RAUM · $1.1B to $630MOct 15, 2025 to Mar 16, 2026
- Other offices · 2 to 4Mar 14, 2025 to Oct 15, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 14, 2025
- Other offices · 3 to 2Mar 15, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.1B to $1.1BMar 15, 2024 to Mar 14, 2025
- Individual RAUM · $47.4M to $8.0MMar 15, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $47.4M to $8.0MMar 15, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $1.1B to $1.1BMar 15, 2024 to Mar 14, 2025
- RAUM · $1.1B to $1.1BMar 15, 2024 to Mar 14, 2025
- Accounts · 6 to 7Mar 20, 2023 to Mar 15, 2024
- Advisory employees · 12 to 11Mar 20, 2023 to Mar 15, 2024
- Advisory activities · 1 to 2Mar 20, 2023 to Mar 15, 2024
- Individual clients · unset to 1.0Mar 20, 2023 to Mar 15, 2024
- Discretionary RAUM · $1.1B to $1.1BMar 20, 2023 to Mar 15, 2024
- Individual RAUM · unset to 47417978.0Mar 20, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $0 to $47.4MMar 20, 2023 to Mar 15, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BMar 20, 2023 to Mar 15, 2024
- RAUM · $1.1B to $1.1BMar 20, 2023 to Mar 15, 2024
- Employees · 19 to 21Apr 21, 2022 to Mar 20, 2023
- Other offices · 5 to 3Apr 21, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.4B to $1.1BApr 21, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.4B to $1.1BApr 21, 2022 to Mar 20, 2023
- RAUM · $1.4B to $1.1BApr 21, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.3B to $1.4BApr 8, 2022 to Apr 21, 2022
- Pooled vehicle RAUM · $1.3B to $1.4BApr 8, 2022 to Apr 21, 2022
- RAUM · $1.3B to $1.4BApr 8, 2022 to Apr 21, 2022
- Advisory employees · 10 to 12Jan 26, 2022 to Mar 16, 2022
- Employees · 20 to 19Jan 26, 2022 to Mar 16, 2022
- Other offices · 2 to 5Jan 26, 2022 to Mar 16, 2022
- Discretionary RAUM · $1.2B to $1.3BJan 26, 2022 to Mar 16, 2022
- Pooled vehicle RAUM · $1.2B to $1.3BJan 26, 2022 to Mar 16, 2022
- RAUM · $1.2B to $1.3BJan 26, 2022 to Mar 16, 2022
- Related adviser · false to trueJan 26, 2022 to Mar 16, 2022
- Employees · 18 to 20May 8, 2020 to Mar 11, 2021
Signals
3 dated events
- P••••• C•••••• G••••• L•• reported RAUM $629.6M, down 41% from $1.1B (2025-10-15 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- P••••• C•••••• G••••• L•• reported RAUM $1.0B, up 37% from $760.4M (2019-04-03 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- A••• K•••••••• (Partner And Vice President) appeared on Schedule A of P••••• C•••••• G••••• L••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P••••• C•••••• G••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••• C•••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H••••://WWW.P•••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-234-5522reportedpublic record, Form ADV, Mar 16, 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