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••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159290SEC 801-72842IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 7, 2012 · 9 filings
RAUM
$435M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$716M gross assets
History
9 filings and snapshots on the tape
RAUM$435M as of Mar 29, 2018
Feb 7, 2012$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Feb 7, 20120 then
Employees (5.A)5 as of Mar 29, 2018
Apr 1, 20137 then
Private funds1 as of Mar 29, 2018
Apr 1, 20131 then
RAUM -43% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$87.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-43%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
Custody
$435M, 5 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)
  • 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$435M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$435M for 5 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• M••••• F••• L•••Hedge Fund$716M24Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• E•••• K•••••• · Chief Compliance Officer, Chief Operating Officercontrol
        since 01/2012 · owns less than 5%
      • R••••••••• P•••••• J••• · Managing Member, Chief Investment Officercontrol
        since 10/2011 · owns less than 5%
      • R••••••••• P•••••• J••• · Managing Membercontrol
        since 01/2012 · owns 75% or more of R••••••••• F••••• L••
      Entity owners
      • R••••••••• F••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P••••• A••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Seattle, WA2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $760M to $435M
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $760M to $435M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 435019477.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $760M to $435M
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 3 to 4
        Sep 27, 2016 to Mar 30, 2017
      • Assets in custody · $781M to $760M
        Sep 27, 2016 to Mar 30, 2017
      • Discretionary RAUM · $781M to $760M
        Sep 27, 2016 to Mar 30, 2017
      • RAUM · $781M to $760M
        Sep 27, 2016 to Mar 30, 2017
      • Assets in custody · $172M to $781M
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 4 to 5
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $172M to $781M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $172M to $781M
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 3
        Mar 31, 2014 to Mar 30, 2015
      • Assets in custody · $366M to $172M
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 6 to 4
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $366M to $172M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $366M to $172M
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 4 to 3
        Apr 4, 2013 to Mar 31, 2014
      • Advisory employees · 5 to 4
        Apr 4, 2013 to Mar 31, 2014
      • Advisory activities · 2 to 1
        Apr 4, 2013 to Mar 31, 2014
      • Assets in custody · $357M to $366M
        Apr 4, 2013 to Mar 31, 2014
      • Employees · 7 to 6
        Apr 4, 2013 to Mar 31, 2014
      • Discretionary RAUM · $772M to $366M
        Apr 4, 2013 to Mar 31, 2014
      • RAUM · $772M to $366M
        Apr 4, 2013 to Mar 31, 2014
      • RAUM · $150M to $772M
        Feb 7, 2012 to Apr 1, 2013
      • Accounts · 1 to 4
        Feb 7, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Feb 7, 2012 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Feb 7, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 7, 2012 to Apr 1, 2013
      • Assets in custody · unset to 357418138.0
        Feb 7, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Feb 7, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Feb 7, 2012 to Apr 1, 2013
      • Private funds · unset to 1
        Feb 7, 2012 to Apr 1, 2013
      • Discretionary RAUM · $150M to $772M
        Feb 7, 2012 to Apr 1, 2013
      • Related adviser · false to true
        Feb 7, 2012 to Apr 1, 2013
      • Related bank · false to true
        Feb 7, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • P••••• C•••••• L•• reported RAUM $435.0M, down 43% from $759.8M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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