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••••••••• E•••••
Legal name P••••••••• E•••••• U••
Latest filing Mar 27, 2025
First filing on the tape Feb 14, 2012 · 29 filings
SEC status approved since Mar 30, 2012
RAUM
$147M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$147M as of Mar 27, 2025
Feb 27, 2013$599M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Feb 27, 20130 then
Employees (5.A)5 as of Mar 27, 2025
Feb 27, 201314 then
Private funds2 as of Mar 27, 2025
Feb 27, 20131 then
RAUM -53% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; 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
- $73.4MderivedRAUM 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
- -53%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
- $147M, 2 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$147M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $147M for 2 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• E••••• •••• V•• L•••••• P••••••••• | Private Equity Fund | $139M | 11 | Oct 22, 2013 |
| T••••• P•••••• C•••••• P••••••• •••• I••• L•••••• P••••••••• | Private Equity Fund | $113M | 11 | Mar 25, 2014 |
| T••••• P•••••• C•••••• P••••••• •••• I•• U•• L•••••• P••••••••• | Private Equity Fund | $66.5M | 8 | Feb 14, 2012 |
| P••••••••• E••••• •••• V• B•• L•••••• P••••••••• | Private Equity Fund | $41.5M | 8 | Mar 25, 2014 |
Owners and control persons
Schedule A and B, latest filing
- D•••• S••••• A•••••• · Managing Directorcontrolsince 12/2011 · owns less than 5%
- J••••••••• J••••• T••••• · Investment Committee Member/Directorcontrolsince 03/2006 · owns less than 5%
- P•••••• N•••••••• A••••• · Managing Director/Chief Financial Officercontrolsince 12/2011 · owns less than 5%
- S•••••• B••••••• S•••• · Managing Partner/Directorcontrolsince 01/2012 · owns less than 5%
- S••••• R•••••••• R•••• · Investment Committee Member/Directorcontrolsince 03/2006 · owns less than 5%
- S••• M••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- S•••••• B••••••• S•••• · Shareholdercontrolsince 07/2006 · owns 75% or more of T••• U•• •••• I••• I•••
- S••••• R•••••••• R•••• · Shareholdercontrolsince 06/2006 · owns 75% or more of B•••• T••• C••••••• I•••
- R•••••••• D••••• J•••• · Directorsince 03/2006 · owns less than 5%
Entity owners
- P••••••••• H•••••••• U•• · Shareholderdirect · owns 75% or more
- B•••• T••• C••••••• I••• · Shareholderindirect · owns 25% to 50% of T••• C•• •••• I••• I•••
- T••• C•• •••• I••• I••• · Shareholderindirect · owns 75% or more of P••••••••• H•••••••• U••
- T••• U•• •••• I••• I••• · Shareholderindirect · owns 25% to 50% of P••••••••• H•••••••• U••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 2Nov 22, 2024 to Mar 27, 2025
- Assets in custody · $179M to $147MNov 22, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 22, 2024 to Mar 27, 2025
- HQ state · unset to Nov 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $179M to $147MNov 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $179M to $147MNov 22, 2024 to Mar 27, 2025
- RAUM · $179M to $147MNov 22, 2024 to Mar 27, 2025
- Accounts · 4 to 2Feb 28, 2024 to Nov 22, 2024
- Pooled vehicle clients · 4 to 2Feb 28, 2024 to Nov 22, 2024
- Assets in custody · $311M to $179MFeb 28, 2024 to Nov 22, 2024
- HQ city · LAKE FOREST to VANCOUVERFeb 28, 2024 to Nov 22, 2024
- HQ state · IL to unsetFeb 28, 2024 to Nov 22, 2024
- Private funds · 4 to 2Feb 28, 2024 to Nov 22, 2024
- Discretionary RAUM · $311M to $179MFeb 28, 2024 to Nov 22, 2024
- Pooled vehicle RAUM · $311M to $179MFeb 28, 2024 to Nov 22, 2024
- RAUM · $311M to $179MFeb 28, 2024 to Nov 22, 2024
- Advisory employees · 7 to 5Feb 27, 2023 to Feb 23, 2024
- Assets in custody · $492M to $311MFeb 27, 2023 to Feb 23, 2024
- Employees · 8 to 5Feb 27, 2023 to Feb 23, 2024
- Discretionary RAUM · $492M to $311MFeb 27, 2023 to Feb 23, 2024
- Pooled vehicle RAUM · $492M to $311MFeb 27, 2023 to Feb 23, 2024
- RAUM · $492M to $311MFeb 27, 2023 to Feb 23, 2024
- Assets in custody · $394M to $492MFeb 28, 2022 to Feb 27, 2023
- Discretionary RAUM · $394M to $492MFeb 28, 2022 to Feb 27, 2023
- Pooled vehicle RAUM · $394M to $492MFeb 28, 2022 to Feb 27, 2023
- RAUM · $394M to $492MFeb 28, 2022 to Feb 27, 2023
- Assets in custody · $300M to $394MFeb 25, 2021 to Feb 28, 2022
- Discretionary RAUM · $300M to $394MFeb 25, 2021 to Feb 28, 2022
- Pooled vehicle RAUM · $300M to $394MFeb 25, 2021 to Feb 28, 2022
- RAUM · $300M to $394MFeb 25, 2021 to Feb 28, 2022
- Assets in custody · $299M to $300MFeb 28, 2020 to Feb 25, 2021
- Other offices · 1 to 0Feb 28, 2020 to Feb 25, 2021
- Discretionary RAUM · $299M to $300MFeb 28, 2020 to Feb 25, 2021
- Pooled vehicle RAUM · $299M to $300MFeb 28, 2020 to Feb 25, 2021
- RAUM · $299M to $300MFeb 28, 2020 to Feb 25, 2021
- Related adviser · true to falseFeb 28, 2020 to Feb 25, 2021
- Advisory employees · 8 to 7Feb 25, 2019 to Feb 28, 2020
- Assets in custody · $325M to $299MFeb 25, 2019 to Feb 28, 2020
- Employees · 9 to 8Feb 25, 2019 to Feb 28, 2020
- Discretionary RAUM · $325M to $299MFeb 25, 2019 to Feb 28, 2020
Signals
7 dated events
- P••••••••• E••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $146.8M)Dec 20, 2025 · Left the SEC roster · derived
- M••••• Shi (Chief Compliance Officer) appeared on Schedule A of P••••••••• E•••••Nov 22, 2024 · Control person joined · fact
- P••••••••• E••••• reported RAUM $179.1M, down 42% from $310.9M (2024-02-28 to 2024-11-22)Nov 22, 2024 · RAUM change · derived
- L. John Westerman (Managing Director/Chief Compliance Officer) no longer on Schedule A of P••••••••• E••••• (listed 2024-02-28, absent 2024-11-22)Nov 22, 2024 · Control person left · inference
- P••••••••• E••••• reported RAUM $310.9M, down 37% from $492.4M (2023-02-27 to 2024-02-23)Feb 23, 2024 · RAUM change · derived
- Quinn Jonathan Dries (Managing Director) no longer on Schedule A of P••••••••• E••••• (listed 2021-02-25, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- Vernon Rob Wildeman (Managing Director) no longer on Schedule A of P••••••••• E••••• (listed 2018-03-26, absent 2019-02-25)Feb 25, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- P••••••••• E••••• · Private Equityshared crd · organization
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