DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

P•••••• U•• L••••••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $1.1B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$1.1B
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
-7.4%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. 3 changes
    ownership and control

    2 control persons joined and 1 left Schedule A in the last 12 months.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
  2. -7.4%
    RAUM, one year

    RAUM $1.13B to $1.05B (-7.4%) on the Form ADV filed 31 Mar 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 159788 · SEC 801-74369 · 29 filingsShow
CRD 159788SEC 801-74369First filing on the tape Feb 21, 2012, latest Mar 31, 2026SEC status approved since Apr 2, 2012IAPD
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape

RAUM +1.0% a year over three years · the tape starts Feb 21, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$1.1B as of Mar 31, 2026
Mar 27, 2013$625M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)7 as of Mar 31, 2026
Mar 27, 20134 then
Private funds: no history
RAUM -7.4% over the last fiscal year+1.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$1.1BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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 office incl. principal (1.F.5)
RAUM growth, one year
-7.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% other investment advisers

The breakdown by client type, and the client counts1 client typesShow
  • Other investment advisers$1.1B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A• O••••• A••••••••• N•• · Presidentcontrol
        since 10/2010 · owns less than 5%
      • H•••••• J••• P•••••• · Managing Partnercontrol
        since 03/2019 · owns less than 5%
      • A• O••••• A••••••••• N•• · Owner/Chief Executive Officercontrol
        since 06/2004 · owns 75% or more of P•••••• H• H•••••• L••••••
      • S••••••••• A•••• S••••••• · Chief Compliance Officer
        since 07/2023 · owns less than 5%
      Entity owners
      • P•••••• H•••••• A• · Owner
        direct · owns 75% or more
      • P•••••• H• H•••••• L•••••• · Owner
        indirect · owns 75% or more of P•••••• H•••••• A•
      Related persons
      Schedule D 7.A
      • P•••••• A•••• M••••••••• A•
        investment advisery
      • P•••••• M••••••••• •••• K•••• L••••••
        investment advisern
      • P•••••• M•••••• L••••••
        pooled vehicle sponsorn
      • P•••••• S••••••• M•••••• L••••••
        pooled vehicle sponsorn
      • T•• F••••• O••••• C• B••
        investment advisery
      All 7 related persons
      • T•• F••••• O••••• C• B•• •• •••• B••••••
        investment advisern
      • T•• F••••• O••••• I••••••••• I••••••••• C••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Mar 31, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: asset managers, $1B to $5B (1,506) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        Jan 29, 2026 to Mar 31, 2026
      • Employees · 8 to 7
        Jan 29, 2026 to Mar 31, 2026
      • Non-discretionary RAUM · $1.1B to $1.1B
        Jan 29, 2026 to Mar 31, 2026
      • RAUM · $1.1B to $1.1B
        Jan 29, 2026 to Mar 31, 2026
      • Employees · 7 to 8
        Mar 28, 2024 to Mar 28, 2025
      Full history · 62 changes
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $1.1B to $1.1B
        Mar 28, 2024 to Mar 28, 2025
      • RAUM · $1.1B to $1.1B
        Mar 28, 2024 to Mar 28, 2025
      • Advisory employees · 4 to 5
        Jul 27, 2023 to Mar 28, 2024
      • Employees · 6 to 7
        Jul 27, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $1.0B to $1.1B
        Jul 27, 2023 to Mar 28, 2024
      • RAUM · $1.0B to $1.1B
        Jul 27, 2023 to Mar 28, 2024
      • Advisory employees · 6 to 4
        Mar 22, 2022 to Mar 22, 2023
      • Employees · 9 to 6
        Mar 22, 2022 to Mar 22, 2023
      • Non-discretionary RAUM · $1.4B to $1.0B
        Mar 22, 2022 to Mar 22, 2023
      • RAUM · $1.4B to $1.0B
        Mar 22, 2022 to Mar 22, 2023
      • Advisory employees · 9 to 6
        Jun 14, 2021 to Mar 22, 2022
      • Employees · 12 to 9
        Jun 14, 2021 to Mar 22, 2022
      • Non-discretionary RAUM · $1.2B to $1.4B
        Jun 14, 2021 to Mar 22, 2022
      • RAUM · $1.2B to $1.4B
        Jun 14, 2021 to Mar 22, 2022
      • Business name · T•• U•• L•••••• to P•••••• U•• L••••••
        Jun 22, 2020 to Mar 29, 2021
      • Employees · 13 to 12
        Jun 22, 2020 to Mar 29, 2021
      • Legal name · T•• U•• L•••••• to P•••••• U•• L••••••
        Jun 22, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $1.1B to $1.2B
        Jun 22, 2020 to Mar 29, 2021
      • RAUM · $1.1B to $1.2B
        Jun 22, 2020 to Mar 29, 2021
      • Advisory employees · 7 to 9
        Jan 14, 2020 to Mar 23, 2020
      • Employees · 11 to 13
        Jan 14, 2020 to Mar 23, 2020
      • Non-discretionary RAUM · $871M to $1.1B
        Jan 14, 2020 to Mar 23, 2020
      • RAUM · $871M to $1.1B
        Jan 14, 2020 to Mar 23, 2020
      • Non-discretionary RAUM · $1.6B to $871M
        Feb 20, 2019 to Mar 29, 2019
      • RAUM · $1.6B to $871M
        Feb 20, 2019 to Mar 29, 2019
      • Employees · 9 to 11
        Mar 29, 2017 to Mar 28, 2018
      • HQ city · KINGDOM OF BAHRAIN to NEW YORK
        Mar 29, 2017 to Mar 28, 2018
      • HQ state · unset to NY
        Mar 29, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $1.5B to $1.6B
        Mar 29, 2017 to Mar 28, 2018
      • RAUM · $1.5B to $1.6B
        Mar 29, 2017 to Mar 28, 2018
      • Employees · 12 to 9
        Mar 22, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $1.1B to $1.5B
        Mar 22, 2016 to Mar 29, 2017
      • RAUM · $1.1B to $1.5B
        Mar 22, 2016 to Mar 29, 2017
      • Advisory employees · 9 to 7
        Jan 14, 2016 to Mar 22, 2016
      • Employees · 13 to 12
        Jan 14, 2016 to Mar 22, 2016
      • Non-discretionary RAUM · $1.2B to $1.1B
        Jan 14, 2016 to Mar 22, 2016
      • RAUM · $1.2B to $1.1B
        Jan 14, 2016 to Mar 22, 2016
      • Advisory employees · 6 to 9
        Jun 19, 2015 to Nov 17, 2015
      • Employees · 10 to 13
        Jun 19, 2015 to Nov 17, 2015
      • Employees · 6 to 10
        Mar 31, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $924M to $1.2B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $924M to $1.2B
        Mar 31, 2014 to Mar 30, 2015
      • Accounts · 3 to 1
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 6
        Mar 27, 2013 to Mar 31, 2014
      • Employees · 4 to 6
        Mar 27, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $625M to $924M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $625M to $924M
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · unset to 4.0
        Mar 28, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Mar 28, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Mar 28, 2012 to Mar 27, 2013
      • HQ city · NEW YORK to KINGDOM OF BAHRAIN
        Mar 28, 2012 to Mar 27, 2013
      • HQ state · NY to unset
        Mar 28, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Mar 28, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $492M to $625M
        Mar 28, 2012 to Mar 27, 2013
      • RAUM · $492M to $625M
        Mar 28, 2012 to Mar 27, 2013
      Signals
      14 dated events
      • ••• Locked
        Mar 31, 2026 · ria principal change · derived
      • ••• Locked
        Mar 31, 2026 · Control person joined · fact
      • ••• Locked
        Mar 31, 2026 · Control person left · inference
      • ••• Locked
        Mar 31, 2026 · Control person joined · fact
      • ••• Locked
        Jul 27, 2023 · Control person left · inference
      Full timeline · 14 events
      • ••• Locked
        Mar 22, 2023 · RAUM change · derived
      • ••• Locked
        Mar 23, 2020 · RAUM change · derived
      • ••• Locked
        Jan 14, 2020 · Control person left · inference
      • ••• Locked
        Mar 29, 2019 · Control person joined · fact
      • ••• Locked
        Mar 29, 2019 · Control person joined · fact
      • ••• Locked
        Mar 29, 2019 · RAUM change · derived
      • ••• Locked
        Feb 20, 2019 · Control person left · inference
      • ••• Locked
        Feb 20, 2019 · Control person left · inference
      • ••• Locked
        Feb 20, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.