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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••••• E••••• P••••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 25 filings
SEC status approved since Mar 30, 2012
RAUM
$3.6B
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
45
23 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
5
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$3.6B as of Mar 31, 2026
Apr 1, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)45 as of Mar 31, 2026
Apr 1, 201320 then
Private funds5 as of Mar 31, 2026
Apr 1, 20135 then
RAUM +7.2% over the last fiscal year+4.3% 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
- $720MderivedRAUM 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
- +7.2%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• E••••• P••••••• V• L• | Private Equity Fund | $1.9B | 61 | Mar 31, 2017 |
| P•••••••• E••••• P••••••• I•• L• | Private Equity Fund | $1.2B | 47 | Apr 1, 2013 |
| P•••••••• E••••• P••••••• I•• L•no longer reported | Private Equity Fund | $179M | 15 | Feb 14, 2012 |
| P•••••••• E••••• P••••••• I• C•• L••• | Private Equity Fund | $155M | 2 | Mar 28, 2024 |
| P•••••••• E••••• P••••••• V•• L••• | Private Equity Fund | $107M | 20 | Mar 28, 2024 |
| P•••••••• E••••• P••••••• I•••• L•no longer reported | Private Equity Fund | $79.2M | 1 | Feb 14, 2012 |
| P•••••••• E••••• P••••••• I••• L•no longer reported | Private Equity Fund | $50.9M | 29 | Feb 14, 2012 |
| P•••••••• E••••• I•••••••• I•• L•no longer reported | Private Equity Fund | $33.2M | 18 | Feb 14, 2012 |
| P•• F•••• C••••••••• L• | Private Equity Fund | $103 | 8 | Apr 21, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A••••• C••••••••• S•••• · Partnercontrolsince 01/2020 · owns less than 5%
- G••••• J•••••• R••• · Partnercontrolsince 01/2017 · owns less than 5%
- I•••••••• D•••••• •••• · Partnercontrolsince 01/2017 · owns less than 5%
- L••••• S••••• S•••••• · Executive Vp And Partnercontrolsince 01/2020 · owns less than 5%
- M•••••••• N••••• A•• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- R••••••• K••••• L•••• · Vice Chairman And Partnercontrolsince 07/2001 · owns less than 5%
- R••••••••• M•••••• A•••••••• · Chairman/Ceo And Partnercontrolsince 05/1997 · owns less than 5%
- S••••••• A•••• L•• · Partnercontrolsince 01/2017 · owns less than 5%
- W•••• S••••••• •••• · Chief Financial Officer And Partnercontrolsince 01/2020 · owns less than 5%
Entity owners
- P•••••••• I••••••••• P•••••••• L•• · Sole Memberdirect · owns 75% or more
- P•••••••• F•• S•••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• F•••••• L••
- P•••••••• F•••••• L•• · Managing Memberindirect · owns 75% or more of P•••••••• I••••••••• P•••••••• L••
- P•••••••• M••••••• L•• · M••••••indirect · owns F of P•••••••• T••••• L••
- P•••••••• T••••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• F•• S•••• L••
- P•••••••• I••••••••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• T••••• L••
Related persons
Schedule D 7.A
- P•••••••• E••••• P••••••• I• C• G•• L••pooled vehicle sponsorn
- P•••••••• E••••• P••••••• I•• L••pooled vehicle sponsorn
- P•• F•••• G••• L•pooled vehicle sponsorn
- P•• V• G•• L••pooled vehicle sponsorn
- P•• V• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT8 employees
- Traverse City, MI
What changed
consecutive filings, newest first
- Advisory employees · 24 to 23Nov 20, 2025 to Mar 31, 2026
- Employees · 47 to 45Nov 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.4B to $3.6BNov 20, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.4B to $3.6BNov 20, 2025 to Mar 31, 2026
- RAUM · $3.4B to $3.6BNov 20, 2025 to Mar 31, 2026
- Advisory employees · 29 to 24Oct 15, 2024 to Mar 27, 2025
- Employees · 51 to 47Oct 15, 2024 to Mar 27, 2025
- Financial planning clients · unset to Oct 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.7B to $3.4BOct 15, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $3.7B to $3.4BOct 15, 2024 to Mar 27, 2025
- RAUM · $3.7B to $3.4BOct 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $3.4B to $3.7BMar 28, 2024 to May 6, 2024
- Pooled vehicle RAUM · $3.4B to $3.7BMar 28, 2024 to May 6, 2024
- RAUM · $3.4B to $3.7BMar 28, 2024 to May 6, 2024
- Accounts · 3 to 5Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 30 to 29Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 5Mar 31, 2023 to Mar 28, 2024
- Employees · 62 to 51Mar 31, 2023 to Mar 28, 2024
- Other offices · 1 to 2Mar 31, 2023 to Mar 28, 2024
- Private funds · 3 to 5Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.2B to $3.4BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.2B to $3.4BMar 31, 2023 to Mar 28, 2024
- RAUM · $3.2B to $3.4BMar 31, 2023 to Mar 28, 2024
- Accounts · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 28 to 30Mar 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Employees · 58 to 62Mar 30, 2022 to Mar 31, 2023
- Private funds · 4 to 3Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.4B to $3.2BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.4B to $3.2BMar 30, 2022 to Mar 31, 2023
- RAUM · $3.4B to $3.2BMar 30, 2022 to Mar 31, 2023
- Advisory employees · 30 to 28Nov 12, 2021 to Mar 30, 2022
- Employees · 41 to 58Nov 12, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.8B to $3.4BNov 12, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.8B to $3.4BNov 12, 2021 to Mar 30, 2022
- RAUM · $2.8B to $3.4BNov 12, 2021 to Mar 30, 2022
- Advisory employees · 27 to 30Mar 30, 2020 to Mar 30, 2021
- Employees · 38 to 41Mar 30, 2020 to Mar 30, 2021
- Other offices · 0 to 1Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $2.8B to $2.8BMar 30, 2020 to Mar 30, 2021
Signals
14 dated events
- Daniel Dominick Barbieri (Chief Compliance Officer/General Counsel) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2024-05-06, absent 2024-10-15)Oct 15, 2024 · Control person left · inference
- Hodges Caleb Clark (Partner) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- (Nmn) Leon Brujis (Partner) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Marie Eugenie Cesar-Fabian (Head Of Esg And Sustainability And Partner) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2022-03-30, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Daniel Dominick Barbieri (Chief Compliance Officer/General Counsel) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Aug 27, 2021 · Control person joined · fact
- Ann Nancy Mitchell (Chief Administrative Officer) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Aug 27, 2021 · Control person joined · fact
- Suzanne Wong (Chief Tax Officer And Partner) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Jan 17, 2020 · Control person joined · fact
- S Susan Lyons (Executive Vp And Partner) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Jan 17, 2020 · Control person joined · fact
- Christopher Allen (Partner) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Jan 17, 2020 · Control person joined · fact
- Leon Brujis (Partner) appeared on Schedule A of P•••••••• E••••• P••••••• A••••••• L••Jan 17, 2020 · Control person joined · fact
- Anderson Erik Scott (Managing Director) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2019-03-29, absent 2020-01-17)Jan 17, 2020 · Control person left · inference
- Luis Zaldivar (Senior Managing Director) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2019-03-29, absent 2020-01-17)Jan 17, 2020 · Control person left · inference
- David Perez (President/Coo) no longer on Schedule A of P•••••••• E••••• P••••••• A••••••• L•• (listed 2019-03-29, absent 2020-01-17)Jan 17, 2020 · Control person left · inference
- P•••••••• E••••• P••••••• A••••••• L•• reported RAUM $2.8B, up 35% from $2.1B (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•••••••• E••••• P••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••••• E••••• P••••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/P••••••••-EQUITY-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••••••EQUITY.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-218-5150reportedpublic 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