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.

Former SEC-registered adviser

P•••••• R•••• C••••••

Former SEC-registered adviserWashington, District of ColumbiaCRD 159887SEC 801-73283IAPD
Legal name P•••••• R•••• C•••••• L••
Latest filing Sep 13, 2016
First filing on the tape Feb 10, 2012 · 8 filings
RAUM
$1.0B
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
17
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$200M gross assets
History
8 filings and snapshots on the tape
RAUM$1.0B as of Mar 30, 2016
Apr 1, 2013$288M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 1, 20130 then
Employees (5.A)17 as of Mar 30, 2016
Apr 1, 201310 then
Private funds1 as of Mar 30, 2016
Apr 1, 20132 then
RAUM +178% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 13, 2016; 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
$149MderivedRAUM 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
+178%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• R•••• C•••••• M••••• F•••• L•••Hedge Fund$200M12Feb 10, 2012
      P•••••• R•••• C•••••• S••••••••• F•••• L•no longer reportedHedge Fund$00Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• D•••••• O••• · Chief Operating Officer, General Counsel, Chief Compliance Officercontrol
        since 07/2013 · owns less than 5%
      • N•••••• N••••• · Head Of Portfolio Riskcontrol
        since 04/2007 · owns less than 5%
      • S••••••• M•••• W••••• · Chief Investment Officer, Chief Executive Officer, Managing Membercontrol
        since 04/2007 · owns 75% or more
      Related persons
      Schedule D 7.A
      • P•••••• R•••• C•••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 8
        Apr 28, 2015 to Mar 30, 2016
      • Employees · 14 to 17
        Apr 28, 2015 to Mar 30, 2016
      • Private funds · 2 to 1
        Apr 28, 2015 to Mar 30, 2016
      • Discretionary RAUM · $376M to $1.0B
        Apr 28, 2015 to Mar 30, 2016
      • RAUM · $376M to $1.0B
        Apr 28, 2015 to Mar 30, 2016
      • Private funds · 1 to 2
        Mar 31, 2015 to Apr 28, 2015
      • Accounts · 9 to 7
        Apr 1, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Apr 1, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Apr 1, 2014 to Mar 31, 2015
      • Employees · 13 to 14
        Apr 1, 2014 to Mar 31, 2015
      • Private funds · 2 to 1
        Apr 1, 2014 to Mar 31, 2015
      • Discretionary RAUM · $952M to $376M
        Apr 1, 2014 to Mar 31, 2015
      • RAUM · $952M to $376M
        Apr 1, 2014 to Mar 31, 2015
      • Accounts · 7 to 9
        Aug 21, 2013 to Apr 1, 2014
      • Advisory activities · 3 to 2
        Aug 21, 2013 to Apr 1, 2014
      • Employees · 10 to 13
        Aug 21, 2013 to Apr 1, 2014
      • Discretionary RAUM · $288M to $952M
        Aug 21, 2013 to Apr 1, 2014
      • RAUM · $288M to $952M
        Aug 21, 2013 to Apr 1, 2014
      • Accounts · 6 to 7
        Feb 10, 2012 to Apr 1, 2013
      • Advisory employees · unset to 6.0
        Feb 10, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Feb 10, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Apr 1, 2013
      • Discretionary RAUM · $226M to $288M
        Feb 10, 2012 to Apr 1, 2013
      • RAUM · $226M to $288M
        Feb 10, 2012 to Apr 1, 2013
      • Related bank · false to true
        Feb 10, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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