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••••••• E••••• • C•••••• L•••

Former SEC-registered adviserCincinnati, OhioCRD 158901SEC 801-73244IAPD
Latest filing Apr 1, 2014
First filing on the tape Feb 9, 2012 · 5 filings
RAUM
$1.7B
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
282
30 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.7B as of Mar 31, 2014
Mar 28, 2013$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 28, 20130 then
Employees (5.A)282 as of Mar 31, 2014
Mar 28, 2013240 then
Private funds: no history
RAUM -3.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2014; 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
$216MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-5.4%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
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
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
8reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• D•••• J• · Senior Vice President, Assistant Secretarycontrol
        since 01/2014 · owns less than 5%
      • E•••••• J••••••• S••••••• · Co-Chairmancontrol
        since 07/2004 · owns less than 5%
      • M•••••• D••••• I••••••• · Chief Financial Officer, Treasurer, Vice Presidentcontrol
        since 06/2013 · owns less than 5%
      • M••••• R•••••• F•••••••• · President, Chief Operating Officer, Secretarycontrol
        since 09/2010 · owns less than 5%
      • P•••••••• M••••••• C••••• · Co-Chairman, Chief Executive Officercontrol
        since 07/2004 · owns less than 5%
      • P•••••••• S•••• J•••• · Chief Compliance Officer, General Counsel, Vice President, Assistant Secretarycontrol
        since 06/2013 · owns less than 5%
      • E•••••• J••••••• S••••••• · Shareholder, Co-Chairmancontrol
        since 05/2004 · owns 50% to 75% of P••••••• E••••• • C••••••• I•••
      • E•••••• J••••••• S••••••• · L•••••• Partnercontrol
        since 05/2004 · owns 25% to 50% of P••••••• E••••• L•••••• P•••••••••
      • P•••••••• M••••••• C••••• · Shareholder, Co-Chairman, Chief Executive Officercontrol
        since 05/2004 · owns 50% to 75% of P••••••• E••••• • C••••••• I•••
      • P•••••••• M••••••• C••••• · L•••••• Partnercontrol
        since 05/2004 · owns 25% to 50% of P••••••• E••••• L•••••• P•••••••••
      Entity owners
      • P••••••• E••••• L•••••• P••••••••• · M••••••• M•••••
        direct · owns 75% or more
      • P••••••• E••••• • C••••••• I••• · General Partner
        indirect · owns F of P••••••• E••••• L•••••• P•••••••••
      Related persons
      Schedule D 7.A
      • P••• N•• F••• M•••••• L••
        pooled vehicle sponsorn
      • P••• S•••••••• I••••••••• F••• G• I•• L••
        investment adviserpooled vehicle sponsorn
      • P••• S•••••••• I••••••••• F••• M•••••• I• L••
        investment adviserpooled vehicle sponsorn
      • P••• S•••••••• I••••••••• M•••••• L••
        investment adviserpooled vehicle sponsorn
      • P••••••• E••••• • C•••••• S••••••• C••••• O••••••••• F••• M••••••• M••••• L••
        investment adviserpooled vehicle sponsorn
      • P••••••• E••••• • C••••••• I•••
        investment adviserpooled vehicle sponsory
      • P••••••• E••••• A•••••• L••
        investment companyy
      • P••••••• E••••• G•••••• L••
        investment companyy
      • P••••••• E••••• L•••••• P•••••••••
        investment adviserpooled vehicle sponsory
      • P••••••• E••••• N•• I• L••
        pooled vehicle sponsorn
      • P••••••• E••••• N•• L••
        pooled vehicle sponsorn
      • P••••••• E••••• O••• L••
        investment companyy
      • P••••••• E••••• V•••• A•••• C•••••• I•• L•••••
        investment adviserpooled vehicle sponsorn
      • P••••••• E••••• V•••• A•••• C•••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • Salt Lake City, UT
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.7B to $1.7B
        Mar 31, 2014 to Apr 1, 2014
      • RAUM · $1.7B to $1.7B
        Mar 31, 2014 to Apr 1, 2014
      • Accounts · 7 to 8
        Jun 27, 2013 to Mar 31, 2014
      • Advisory employees · 29 to 30
        Jun 27, 2013 to Mar 31, 2014
      • Employees · 249 to 282
        Jun 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.8B to $1.7B
        Jun 27, 2013 to Mar 31, 2014
      • RAUM · $1.8B to $1.7B
        Jun 27, 2013 to Mar 31, 2014
      • Related adviser · false to true
        Jun 27, 2013 to Mar 31, 2014
      • Advisory employees · 26 to 29
        Mar 28, 2013 to Jun 27, 2013
      • Employees · 240 to 249
        Mar 28, 2013 to Jun 27, 2013
      • Discretionary RAUM · $1.8B to $1.8B
        Mar 28, 2013 to Jun 27, 2013
      • RAUM · $1.8B to $1.8B
        Mar 28, 2013 to Jun 27, 2013
      • Business name · P••••••• E••••• • C••••••• L••• to P••••••• E••••• • C•••••• L•••
        Feb 9, 2012 to Mar 28, 2013
      • Employees · unset to 240.0
        Feb 9, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 9, 2012 to Mar 28, 2013
      • Legal name · P••••••• E••••• • C••••••• L••• to P••••••• E••••• • C•••••• L•••
        Feb 9, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.8B to $1.8B
        Feb 9, 2012 to Mar 28, 2013
      • RAUM · $1.8B to $1.8B
        Feb 9, 2012 to Mar 28, 2013
      • Advisory employees · unset to 26.0
        Feb 9, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 9, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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