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••••••• U• L••
Latest filing Jul 16, 2026
First filing on the tape Jan 31, 2012 · 25 filings
SEC status approved since Feb 14, 2012
RAUM
$312M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
66%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$312M as of Jul 16, 2026
Mar 6, 2013$90.0M then
HNW client RAUM$205M as of Jul 16, 2026
Mar 28, 2018$204M then
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Mar 6, 20131 then
Employees (5.A)5 as of Jul 16, 2026
Mar 6, 20131 then
Private funds: no history
RAUM +4.2% over the last fiscal year+4.4% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $11.4MderivedHNW RAUM over HNW clients
- Average account
- $16.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 34%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
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M66%
- Charitable organizations$107M34%
- Individual clients
- 0reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.66 fund_share=0.0 institutional_share=0.34 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M•••••• R••••• · Managercontrolsince 11/2011 · owns less than 5%
- H•••••• M•••••• A•••• · Cco, Managercontrolsince 11/2011 · owns less than 5%
Entity owners
- P••••••• L••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••• P••••••• F•••••••• S•••••••• G•••investment advisern
- P••••••• L•••investment adviseryRAUM $488M
Advisers that list P••••••• U• L•• as a related person
- 160171 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 26, 2026discretionary share of RAUM moved from 31.0% to 67.0% between the annual amendments of 2025-03-10 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- HQ city · NEW YORK CITY to NEW YORKFeb 26, 2026 to Jul 16, 2026
- Accounts · 24 to 19Mar 10, 2025 to Feb 26, 2026
- HNW clients · 24 to 18Mar 10, 2025 to Feb 26, 2026
- Employees · 4 to 5Mar 10, 2025 to Feb 26, 2026
- State-registered IARs · 1 to 0Mar 10, 2025 to Feb 26, 2026
- Discretionary RAUM · $93.1M to $210MMar 10, 2025 to Feb 26, 2026
- HNW RAUM · $204M to $205MMar 10, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $207M to $103MMar 10, 2025 to Feb 26, 2026
- RAUM · $300M to $312MMar 10, 2025 to Feb 26, 2026
- Accounts · 22 to 24May 27, 2024 to Mar 10, 2025
- HNW clients · 21 to 24May 27, 2024 to Mar 10, 2025
- Financial planning clients · unset to May 27, 2024 to Mar 10, 2025
- Discretionary RAUM · $92.9M to $93.1MMay 27, 2024 to Mar 10, 2025
- HNW RAUM · $222M to $204MMay 27, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $218M to $207MMay 27, 2024 to Mar 10, 2025
- RAUM · $310M to $300MMay 27, 2024 to Mar 10, 2025
- Accounts · 19 to 22Mar 20, 2023 to Mar 28, 2024
- HNW clients · 18 to 21Mar 20, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 1Mar 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $96.2M to $92.9MMar 20, 2023 to Mar 28, 2024
- HNW RAUM · $192M to $222MMar 20, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $178M to $218MMar 20, 2023 to Mar 28, 2024
- RAUM · $275M to $310MMar 20, 2023 to Mar 28, 2024
- Accounts · 16 to 19Nov 10, 2022 to Mar 20, 2023
- HNW clients · 15 to 18Nov 10, 2022 to Mar 20, 2023
- Discretionary RAUM · $108M to $96.2MNov 10, 2022 to Mar 20, 2023
- HNW RAUM · $208M to $192MNov 10, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $176M to $178MNov 10, 2022 to Mar 20, 2023
- RAUM · $284M to $275MNov 10, 2022 to Mar 20, 2023
- Accounts · 9 to 16Sep 16, 2021 to Mar 24, 2022
- Charity clients · 1 to 0Sep 16, 2021 to Mar 24, 2022
- HNW clients · 8 to 15Sep 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $92.9M to $108MSep 16, 2021 to Mar 24, 2022
- HNW RAUM · $165M to $208MSep 16, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $156M to $176MSep 16, 2021 to Mar 24, 2022
- RAUM · $249M to $284MSep 16, 2021 to Mar 24, 2022
- Charity clients · unset to 1.0Jun 26, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0Jun 26, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0Jun 26, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0Jun 26, 2020 to Mar 31, 2021
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.
How to reach
public business contact points only, each with its source
- Business phone
- 646-213-4980reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 917-397-3381reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- ch.linkedin.com/company/parkviewreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1 646 213 4980reportedpublic record, Form ADV, Jul 16, 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
- Independent wealth managerderiveda 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