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•••••• L••• P•••••••• L•••••
Latest filing May 8, 2026
First filing on the tape Mar 30, 2017 · 22 filings
SEC status approved since Apr 6, 2017
RAUM
$2.2B
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
27
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
12
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.2B as of May 8, 2026
Mar 29, 2018$291M then
HNW client RAUM$0 as of May 8, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of May 8, 2026
Mar 29, 20180 then
Employees (5.A)27 as of May 8, 2026
Mar 29, 20189 then
Private funds12 as of May 8, 2026
Mar 29, 20185 then
RAUM +1.9% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 8, 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
- $182MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%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
- yesreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• L••• P••••••• L•••••••• H••• F••• O••• L• | Private Equity Fund | $409M | 101 | Mar 27, 2020 |
| P•••••• L••• P••••••• F••• F•••• L• | Private Equity Fund | $311M | 85 | Mar 27, 2020 |
| P•••••• L••• P••••••• L•••••••• H••• F••• T••• L••• | Private Equity Fund | $276M | 114 | Mar 30, 2023 |
| P•••••• L••• P••••••• F••• T••••• L••• | Private Equity Fund | $247M | 92 | Mar 30, 2017 |
| P•••••• L••• P••••••• F••• F•••• L••• | Private Equity Fund | $244M | 125 | Mar 30, 2023 |
| P•••••• L••• P••••••• F••• O••• L• | Private Equity Fund | $39.6M | 31 | Mar 29, 2012 |
| P•••••• L••• P••••••• F••• T••• L• | Private Equity Fund | $36.1M | 46 | Mar 31, 2014 |
| P•••••• L••• P••••••• N•••• C••••••••• L••• | Private Equity Fund | $18.0M | 13 | Mar 30, 2022 |
| P•••••• L••• P••••••• F••• O•• S••••••• L• | Private Equity Fund | $6.7M | 3 | Mar 29, 2012 |
| P•••••• L••• P••••••• 2••• C•••• L••• | Private Equity Fund | $131,062 | 3 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• T•••••• C•••••• · Managercontrolsince 12/2009 · owns less than 5%
- G•••• L••••••• M••••••• · Partner & Coocontrolsince 02/2022 · owns less than 5%
- M••••• I•• R•••••• W•••••• · Chief Compliance Officer And Chief Administrative Officercontrolsince 01/2019 · owns less than 5%
- A••••••• T•••••• C•••••• · Limited Partnercontrolsince 02/2023 · owns 75% or more of P•••••• L••• M••••••••• H•••••••• L•
- A••••••• T•••••• C•••••• · Managing Membercontrolsince 02/2023 · owns 75% or more of P•••••• L••• M••••••••• H•••••••• L••
Entity owners
- P•••••• L••• M••••••••• H•••••••• L• · Memberdirect · owns 75% or more
- P•••••• L••• M••••••••• H•••••••• L•• · General Partnerindirect · owns F of P•••••• L••• M••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- P•••••• L••• P••••••• E••••• I• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• E••••• I•• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• E••••• I••• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• E••••• I•• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• E••••• V• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• L•••••••• C•••••••• I• G•• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• L•••••••• I• G•• L••pooled vehicle sponsorn
- P•••••• L••• P••••••• L•••••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Palo Alto, CA2 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.3B to $2.2BMar 31, 2026 to May 8, 2026
- Pooled vehicle RAUM · $2.3B to $2.2BMar 31, 2026 to May 8, 2026
- RAUM · $2.3B to $2.2BMar 31, 2026 to May 8, 2026
- Accounts · 11 to 12Jun 9, 2025 to Mar 31, 2026
- Advisory employees · 14 to 22Jun 9, 2025 to Mar 31, 2026
- Business name · P•••••• L••• P•••••••• L•• to P•••••• L••• P•••••••• L•••••Jun 9, 2025 to Mar 31, 2026
- Pooled vehicle clients · 11 to 12Jun 9, 2025 to Mar 31, 2026
- Employees · 20 to 27Jun 9, 2025 to Mar 31, 2026
- Legal name · P•••••• L••• P•••••••• L•• to P•••••• L••• P•••••••• L•••••Jun 9, 2025 to Mar 31, 2026
- Private funds · 11 to 12Jun 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.1B to $2.3BJun 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $2.1B to $2.3BJun 9, 2025 to Mar 31, 2026
- RAUM · $2.1B to $2.3BJun 9, 2025 to Mar 31, 2026
- Financial planning clients · unset to May 8, 2025 to Jun 9, 2025
- Accounts · 9 to 11Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 16 to 14Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 9 to 11Mar 28, 2024 to Mar 28, 2025
- Employees · 25 to 20Mar 28, 2024 to Mar 28, 2025
- Private funds · 9 to 11Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $2.1BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.6B to $2.1BMar 28, 2024 to Mar 28, 2025
- RAUM · $1.6B to $2.1BMar 28, 2024 to Mar 28, 2025
- Accounts · 10 to 9Aug 15, 2023 to Mar 28, 2024
- Pooled vehicle clients · 10 to 9Aug 15, 2023 to Mar 28, 2024
- Employees · 23 to 25Aug 15, 2023 to Mar 28, 2024
- Private funds · 10 to 9Aug 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $1.6BAug 15, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $1.6BAug 15, 2023 to Mar 28, 2024
- RAUM · $1.5B to $1.6BAug 15, 2023 to Mar 28, 2024
- Accounts · 8 to 10Mar 8, 2023 to Mar 30, 2023
- Pooled vehicle clients · 8 to 10Mar 8, 2023 to Mar 30, 2023
- Employees · 21 to 23Mar 8, 2023 to Mar 30, 2023
- Private funds · 8 to 10Mar 8, 2023 to Mar 30, 2023
- Discretionary RAUM · $966M to $1.5BMar 8, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $966M to $1.5BMar 8, 2023 to Mar 30, 2023
- RAUM · $966M to $1.5BMar 8, 2023 to Mar 30, 2023
- Accounts · 7 to 8Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 11 to 16Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 7 to 8Mar 30, 2021 to Mar 30, 2022
- Employees · 16 to 21Mar 30, 2021 to Mar 30, 2022
Signals
7 dated events
- P•••••• L••• P•••••••• L••••• reported RAUM $2.1B, up 35% from $1.6B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- P•••••• L••• P•••••••• L••••• reported RAUM $1.5B, up 58% from $965.9M (2023-03-08 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- L James Southern (Managing Member) no longer on Schedule A of P•••••• L••• P•••••••• L••••• (listed 2022-03-30, absent 2023-02-28)Feb 28, 2023 · Control person left · inference
- Marshall Lindsey Gray (Partner & Coo) appeared on Schedule A of P•••••• L••• P•••••••• L•••••Mar 30, 2022 · Control person joined · fact
- P•••••• L••• P•••••••• L••••• reported RAUM $780.3M, up 147% from $315.9M (2019-03-26 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- W•••••• R••••• M••••• Ii (Controller And Chief Compliance Officer) appeared on Schedule A of P•••••• L••• P•••••••• L•••••Feb 1, 2019 · Control person joined · fact
- P•••••• L••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• L••• P•••••••• L••••• · Independent Sponsorsshared crd · capital_provider
- P•••••• L••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pacific-lake-partnersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-658-3024reportedpublic record, Form ADV, May 8, 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