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•••••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Oct 7, 2014 · 34 filings
SEC status approved since Oct 27, 2014
RAUM
$18B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$1.9B
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$18B as of Mar 10, 2026
Mar 4, 2015$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 10, 2026
Mar 4, 20154 then
Employees (5.A)16 as of Mar 10, 2026
Mar 4, 20157 then
Private funds: no history
RAUM +52% over the last fiscal year+44% a year over threeIARs 10 to 9
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $1.9BderivedRAUM 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
- $357MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$18B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=11.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A•••• L•••••••Chartered Financial Analyst | Orinda, Ca | Jan 4, 2018 | 25 y | 4 |
| A•••••• N•• C••••••• | Orinda, Ca | Jan 4, 2018 | 22 y | 2 |
| J•••• N•• M••••••• | Orinda, Ca | Jan 4, 2018 | 25 y | 2 |
| E•••••• D•••• T•••Chartered Financial Analyst | Orinda, Ca | Jan 5, 2018 | 17 y | 2 |
| K•••• P•••••• M•••••••• | Orinda, Ca | Jan 5, 2018 | 20 y | 2 |
| L•• W••••• G••••• | Orinda, Ca | Sep 21, 2022 | 39 y | 0 |
| A•• A••• | Orinda, Ca | Dec 14, 2022 | 11 y | 0 |
| C•••••••• M•••• J•••••••Chartered Financial Analyst | Orinda, Ca | Mar 17, 2023 | 13 y | 0 |
| K•••••••• S•••• D•••• | Orinda, Ca | Jan 27, 2025 | 17 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
- Z••••• M••••••• to P••••••• G••••• I•••••••• L••Aug 29, 2019 · Other
- A•••••• N•• C••••••• to P••••••• G••••• I•••••••• L••Dec 31, 2017 · Other
- K•••• P•••••• M•••••••• to E••• W••• A•••••••Dec 31, 2017 · Other
- Z••••• M••••••• to P••••••• G••••• I•••••••• L••Dec 31, 2017 · Other
- J•••• N•• M••••••• to P••••••• G••••• I•••••••• L••Dec 31, 2017 · Other
Joined, latest
- K•••• P•••••• M•••••••• from E••• W••• A•••••••Jan 5, 2018 · Other
- Z••••• M••••••• from P••••••• G••••• I•••••••• L••Jan 5, 2018 · Other
- A•••••• N•• C••••••• from P••••••• G••••• I•••••••• L••Jan 4, 2018 · Other
- J•••• N•• M••••••• from P••••••• G••••• I•••••••• L••Jan 4, 2018 · Other
- D••••• A•••• L••••••• from C•••••• S••••• • C••• I•••Apr 28, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••••••• G••••• I•••••••• L••Dec 31, 2017 · Orinda, Ca
- 3 joined from P••••••• G••••• I•••••••• L••Dec 31, 2017 · Orinda, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• A•••••• · Chief Compliance Officer And Risk Managercontrolsince 08/2011 · owns less than 5%
- L•••••••• D•••••• A•••• · Managing Directorcontrolsince 09/2014 · owns 25% to 50%
- M•••••••• G•••••• N•• · President And Ceocontrolsince 08/2009 · owns less than 5%
- M•••••••• G••••• · Presidentcontrolsince 12/2007 · owns 25% to 50% of P••••••• S••••••••• LLC
- D••••• A••••• A••• · Portfolio Managersince 02/2018 · owns less than 5%
- T•••• E••••••• D•••• · Managing Directorsince 03/2016 · owns 5% to 10%
Entity owners
- P••••••• F•••••••• V••••••• · Holding Companydirect · owns 10% to 25%
Related persons
Schedule D 7.A
- P••••••• G••••• I•••••••• L••investment advisern
- P••••••• S••••••••• L••broker-dealern
Advisers that list P••••••• C•••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orinda, Ca · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 44 to 49Jul 21, 2025 to Mar 10, 2026
- Insurance-licensed employees · 8 to 7Jul 21, 2025 to Mar 10, 2026
- State-registered IARs · 10 to 9Jul 21, 2025 to Mar 10, 2026
- Discretionary RAUM · $12B to $18BJul 21, 2025 to Mar 10, 2026
- RAUM · $12B to $18BJul 21, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Jul 21, 2025
- Advisory employees · 8 to 7Jan 28, 2025 to Mar 27, 2025
- Advisory activities · 2 to 1Jan 28, 2025 to Mar 27, 2025
- BD registered reps · 12 to 11Jan 28, 2025 to Mar 27, 2025
- Employees · 14 to 16Jan 28, 2025 to Mar 27, 2025
- Insurance-licensed employees · 4 to 8Jan 28, 2025 to Mar 27, 2025
- State-registered IARs · 8 to 10Jan 28, 2025 to Mar 27, 2025
- Discretionary RAUM · $11B to $12BJan 28, 2025 to Mar 27, 2025
- RAUM · $11B to $12BJan 28, 2025 to Mar 27, 2025
- Accounts · 51 to 44Jul 22, 2024 to Jan 28, 2025
- Discretionary RAUM · $11B to $11BJul 22, 2024 to Jan 28, 2025
- RAUM · $11B to $11BJul 22, 2024 to Jan 28, 2025
- Accounts · 39 to 51Mar 15, 2024 to Jul 22, 2024
- Employees · 13 to 14Mar 15, 2024 to Jul 22, 2024
- Discretionary RAUM · $6.7B to $11BMar 15, 2024 to Jul 22, 2024
- RAUM · $6.7B to $11BMar 15, 2024 to Jul 22, 2024
- Accounts · 42 to 39Mar 27, 2023 to Mar 15, 2024
- Advisory employees · 7 to 8Mar 27, 2023 to Mar 15, 2024
- BD registered reps · 11 to 12Mar 27, 2023 to Mar 15, 2024
- Employees · 12 to 13Mar 27, 2023 to Mar 15, 2024
- State-registered IARs · 7 to 8Mar 27, 2023 to Mar 15, 2024
- Discretionary RAUM · $5.8B to $6.7BMar 27, 2023 to Mar 15, 2024
- RAUM · $5.8B to $6.7BMar 27, 2023 to Mar 15, 2024
- Accounts · 39 to 42Mar 31, 2022 to Mar 15, 2023
- Advisory employees · 5 to 7Mar 31, 2022 to Mar 15, 2023
- BD registered reps · 9 to 11Mar 31, 2022 to Mar 15, 2023
- Employees · 10 to 12Mar 31, 2022 to Mar 15, 2023
- Insurance-licensed employees · 5 to 4Mar 31, 2022 to Mar 15, 2023
- State-registered IARs · 5 to 7Mar 31, 2022 to Mar 15, 2023
- Discretionary RAUM · $5.9B to $5.8BMar 31, 2022 to Mar 15, 2023
- RAUM · $5.9B to $5.8BMar 31, 2022 to Mar 15, 2023
- Accounts · 23 to 39Oct 1, 2021 to Mar 31, 2022
- Advisory activities · 3 to 2Oct 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.3B to $5.9BOct 1, 2021 to Mar 31, 2022
- RAUM · $5.3B to $5.9BOct 1, 2021 to Mar 31, 2022
Signals
5 dated events
- P••••••• C•••••• M••••••••• L•• reported RAUM $17.5B, up 52% from $11.5B (2025-07-21 to 2026-03-10)Mar 10, 2026 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $11.4B, up 71% from $6.7B (2024-03-15 to 2024-07-22)Jul 22, 2024 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $5.3B, up 205% from $1.7B (2020-05-14 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $1.7B, up 44% from $1.2B (2019-03-25 to 2020-02-05)Feb 5, 2020 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- penserra.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-456-8850reportedpublic record, Form ADV, Mar 10, 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
- $1.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026