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••• B•••• C•••••• M••••••••• I••• L••
Latest filing Mar 27, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 8, 2012
RAUM
$999M
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
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$999M as of Mar 27, 2026
Mar 28, 2013$234M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 15, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)11 as of Mar 27, 2026
Mar 28, 20138 then
Private funds15 as of Mar 27, 2026
Mar 28, 20134 then
RAUM +6.8% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $71.3MderivedRAUM 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
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $999M, 15 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$999M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $999M for 15 clientsreported
- Compensation
- 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
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• B•••• C•••••• F••• V•• L••• | Private Equity Fund | $232M | 110 | Mar 28, 2024 |
| P••• B•••• C•••••• F••• V• L• | Private Equity Fund | $173M | 48 | Mar 25, 2021 |
| P••• B•••• C•••••• F••• I• | Private Equity Fund | $98.2M | 64 | Mar 31, 2017 |
| P••• B•••• C•••••• F••• I••• L••• | Private Equity Fund | $72.6M | 63 | Feb 13, 2012 |
| P••• B•••• C•••••• F••• V• P•••••••• L••• | Private Equity Fund | $50.0M | 15 | Mar 28, 2024 |
| H•• C••••••••• L• | Private Equity Fund | $38.3M | 23 | Mar 31, 2015 |
| P•• P••• D••••• C••••••••• F•••••• L••• | Private Equity Fund | $26.1M | 20 | Mar 28, 2024 |
| P•• V• P••••••••• F•••• L• | Private Equity Fund | $17.9M | 10 | Mar 28, 2024 |
| P•• V• P••••••••• F••• L• | Private Equity Fund | $14.6M | 5 | Mar 31, 2022 |
| B••• T••• C••••••••• L• | Private Equity Fund | $14.1M | 12 | Jun 26, 2020 |
| P•• I• P••••••••• F•••• L• | Private Equity Fund | $5.4M | 5 | Mar 31, 2017 |
| P•• I•• P••••••••• F•••• L• | Private Equity Fund | $4.8M | 10 | Feb 13, 2012 |
| P••• B•••• C•••••• F••• I• L•••no longer reported | Private Equity Fund | $3.5M | 31 | Feb 13, 2012 |
| P•• M•••• C••••••••• L• | Private Equity Fund | $1.2M | 12 | Jun 26, 2020 |
| L••••• C••••••••• L• | Private Equity Fund | $480,000 | 7 | Jun 26, 2020 |
| L•••••• C••••••••• L•no longer reported | Private Equity Fund | $424,000 | 20 | Mar 31, 2015 |
| L•••••• C••••••••• I•• L•no longer reported | Private Equity Fund | $212,000 | 21 | Mar 31, 2017 |
| P•• M•••• C••••••••• L•• | Private Equity Fund | $121,768 | 9 | Jun 26, 2020 |
| P•• N•• C••••••••• L•no longer reported | Private Equity Fund | $47,600 | 5 | Jun 26, 2020 |
| P••• B•••• C•••••• F••• I•• L•no longer reported | Private Equity Fund | $0 | 51 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• C••••••••• S•••••• · Chief Compliance Officer/Chief Executive Officercontrolsince 03/2020 · owns less than 5%
- H•••••• J••••• W•••••• · Elected Manager, Membercontrolsince 05/2011 · owns 10% to 25%
- M•••••••• S••••• L••••• · Elected Manager, Membercontrolsince 05/2011 · owns 25% to 50%
- S••••••••• M••••••• L•••• · Elected Manager, Membercontrolsince 05/2011 · owns 25% to 50%
- W•••• N•••••• S•••• · Elected Manager, Membercontrolsince 05/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
- H•• C••••••••• G•• L•pooled vehicle sponsorn
- P••• B•••• C•••••• G• I•• L••pooled vehicle sponsorn
- P••• B•••• C•••••• G• I••• L•pooled vehicle sponsorn
- P••• B•••• C•••••• G• I•• L•pooled vehicle sponsorn
- P••• B•••• C•••••• G• V• L•••pooled vehicle sponsorn
- P•• B••• T••• C••••••••• G•• L•pooled vehicle sponsorn
- P•• G• I••• L••pooled vehicle sponsorn
- P•• G• I•• L••pooled vehicle sponsorn
- P•• L••••• C••••••••• G•• L•pooled vehicle sponsorn
- P•• M•••• C••••••••• G•• L•pooled vehicle sponsorn
- P•• M•••• C••••••••• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 15 to 14Mar 28, 2025 to Mar 27, 2026
- Pooled vehicle clients · 15 to 14Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $935M to $999MMar 28, 2025 to Mar 27, 2026
- Private funds · 14 to 15Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $935M to $999MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $935M to $999MMar 28, 2025 to Mar 27, 2026
- RAUM · $935M to $999MMar 28, 2025 to Mar 27, 2026
- Accounts · 14 to 15Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 5 to 7Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 14 to 15Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $841M to $935MMar 28, 2024 to Mar 28, 2025
- Employees · 8 to 11Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 15 to 14Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $841M to $935MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $841M to $935MMar 28, 2024 to Mar 28, 2025
- RAUM · $841M to $935MMar 28, 2024 to Mar 28, 2025
- Accounts · 10 to 14Mar 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 10 to 14Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $417M to $841MMar 29, 2023 to Mar 28, 2024
- Private funds · 11 to 15Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $514M to $841MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $514M to $841MMar 29, 2023 to Mar 28, 2024
- RAUM · $514M to $841MMar 29, 2023 to Mar 28, 2024
- Assets in custody · $578M to $417MMar 31, 2022 to Mar 29, 2023
- Private funds · 12 to 11Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $578M to $514MMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $578M to $514MMar 31, 2022 to Mar 29, 2023
- RAUM · $578M to $514MMar 31, 2022 to Mar 29, 2023
- Accounts · 159 to 10Dec 9, 2021 to Mar 31, 2022
- Charity clients · 1 to 0Dec 9, 2021 to Mar 31, 2022
- Corporate clients · 1 to 0Dec 9, 2021 to Mar 31, 2022
- HNW clients · 141 to 0Dec 9, 2021 to Mar 31, 2022
- Pension plan clients · 1 to 0Dec 9, 2021 to Mar 31, 2022
- Pooled vehicle clients · 0 to 10Dec 9, 2021 to Mar 31, 2022
- Assets in custody · $500M to $578MDec 9, 2021 to Mar 31, 2022
- Private funds · 14 to 12Dec 9, 2021 to Mar 31, 2022
- Discretionary RAUM · $500M to $578MDec 9, 2021 to Mar 31, 2022
- HNW RAUM · $201M to $0Dec 9, 2021 to Mar 31, 2022
- Pension RAUM · $39.8M to $0Dec 9, 2021 to Mar 31, 2022
Signals
3 dated events
- P••• B•••• C•••••• M••••••••• I••• L•• reported RAUM $841.1M, up 64% from $513.7M (2023-03-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•••••• C••••••••• F••••• (Chief Compliance Officer/Chief Executive Officer) appeared on Schedule A of P••• B•••• C•••••• M••••••••• I••• L••Jun 26, 2020 · Control person joined · fact
- Effie Tzirtziropoulos (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of P••• B•••• C•••••• M••••••••• I••• L•• (listed 2020-03-25, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P••• B•••• C•••••• M••••••••• I••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• B•••• C•••••• M••••••••• I••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.p••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-659-9022reportedpublic record, Form ADV, Mar 27, 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