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•••••• P•••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Feb 14, 2012 · 15 filings
SEC status approved since Mar 30, 2012
RAUM
$824M
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$824M as of Apr 1, 2026
Apr 1, 2013$940M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Apr 1, 20130 then
Employees (5.A)14 as of Apr 1, 2026
Apr 1, 201314 then
Private funds3 as of Apr 1, 2026
Apr 1, 20137 then
RAUM -35% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 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
- $165MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$824M100%
- 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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P• C•••••• M••••• F••• I• L• | Hedge Fund | $986M | 272 | Feb 14, 2012 |
| P• C•••••• M••••• F••• V•• L•no longer reported | Hedge Fund | $346M | 1 | Feb 14, 2012 |
| P• C•••••• M••••• F••• X•••• L• | Private Equity Fund | $333M | 10 | Mar 29, 2019 |
| P• C•••••• M••••• F••• X••• L•no longer reported | Hedge Fund | $279M | 1 | Mar 31, 2017 |
| P• C•••••• M••••• F••• V••• L•no longer reported | Private Equity Fund | $230M | 39 | Apr 1, 2013 |
| P• C•••••• M••••• F••• X• L•no longer reported | Private Equity Fund | $197M | 9 | Mar 31, 2015 |
| P• C•••••• M••••• F••• I•• L•no longer reported | Hedge Fund | $80.0M | 3 | Mar 31, 2014 |
| P• C•••••• M••••• F••• V•••• L••no longer reported | Hedge Fund | $21.9M | 2 | Apr 1, 2013 |
| P• C•••••• M••••• F••• V• L•no longer reported | Hedge Fund | $10.6M | 2 | Feb 14, 2012 |
| P• C•••••• M••••• F••• X•• L•no longer reported | Private Equity Fund | $6.8M | 34 | Mar 31, 2017 |
| P• C•••••• F••• I•• L• | Private Equity Fund | $1.5M | 7 | Feb 14, 2012 |
| P• C•••••• M••••• F••• I••• L••no longer reported | Hedge Fund | $502,000 | 2 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J••••• C••••••••• · Cfo, Ccocontrolsince 09/2006 · owns less than 5%
- M•••••• C••••• J••••• · Ceo, Ownercontrolsince 07/2004 · owns 75% or more
Related persons
Schedule D 7.A
- P• C•••••• G•• L••pooled vehicle sponsory
- P• C•••••• G•• X••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $1,260,600,000 to $824,400,000 (-35.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +8.0% (672 comparable advisers, 5.0th percentile of changes)peers: asset managers, $500M to $1B (672) · 4.6% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.3B to $824MMar 31, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $1.3B to $824MMar 31, 2025 to Apr 1, 2026
- RAUM · $1.3B to $824MMar 31, 2025 to Apr 1, 2026
- Accounts · 4 to 5Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3B to $1.3BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.3B to $1.3BMar 28, 2024 to Mar 31, 2025
- Accounts · 6 to 4Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 4Mar 30, 2023 to Mar 28, 2024
- Employees · 15 to 14Mar 30, 2023 to Mar 28, 2024
- Private funds · 3 to 2Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.3B to $1.3BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.3B to $1.3BMar 30, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.3BMar 30, 2023 to Mar 28, 2024
- Accounts · 8 to 6Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 5 to 3Mar 31, 2022 to Mar 30, 2023
- Private funds · 5 to 3Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.9B to $1.3BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.9B to $1.3BMar 31, 2022 to Mar 30, 2023
- RAUM · $1.9B to $1.3BMar 31, 2022 to Mar 30, 2023
- Advisory employees · 9 to 10Mar 31, 2021 to Mar 31, 2022
- Employees · 14 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $2.3B to $1.9BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $2.3B to $1.9BMar 31, 2021 to Mar 31, 2022
- RAUM · $2.3B to $1.9BMar 31, 2021 to Mar 31, 2022
- Accounts · 9 to 8Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 10 to 9Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Employees · 16 to 14Mar 30, 2020 to Mar 31, 2021
- Private funds · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.3B to $2.3BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $2.3B to $2.3BMar 30, 2020 to Mar 31, 2021
- RAUM · $2.3B to $2.3BMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.7B to $2.3BMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.7B to $2.3BMar 29, 2019 to Mar 30, 2020
- RAUM · $1.7B to $2.3BMar 29, 2019 to Mar 30, 2020
Signals
3 dated events
- P• C•••••• P•••••••• L•• reported RAUM $824.4M, down 35% from $1.3B (2025-03-31 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- P• C•••••• P•••••••• L•• reported RAUM $1.3B, down 32% from $1.9B (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- P• C•••••• P•••••••• L•• reported RAUM $2.3B, up 36% from $1.7B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-508-5500reportedpublic record, Form ADV, Apr 1, 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