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••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 31 filings
SEC status approved since Mar 30, 2012
RAUM
$5.4B
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
21
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$5.4B as of Mar 31, 2026
Feb 27, 2013$271M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 27, 20130 then
Employees (5.A)21 as of Mar 31, 2026
Feb 27, 201311 then
Private funds2 as of Mar 31, 2026
Feb 27, 20131 then
RAUM -1.8% over the last fiscal year+9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $907MderivedRAUM 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
- -1.8%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
- $5.4B, 6 clientsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$5.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4B for 6 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• C•••••• M••••• F•••• L• | Hedge Fund | $4.3B | 331 | Apr 30, 2012 |
| P•• L••• M••••• F•••• L• | Hedge Fund | $159M | 5 | Aug 29, 2024 |
| P•• L••• F•••• L• | Hedge Fund | $91.7M | 4 | Feb 25, 2019 |
| P•• S•••••• O••••••••• I• L•no longer reported | Hedge Fund | $48.5M | 20 | Oct 14, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• K•••••• K••••••• · General Counsel And Chief Compliance Officercontrolsince 09/2020 · owns less than 5%
- D••••• V••••••• P••• · President, Head Of Marketing/Investor Relationscontrolsince 01/2022 · owns less than 5%
- I•••••••• A•••••• J•• · Co-Foundercontrolsince 09/2011 · owns less than 5%
- K••••••••• I•••• · Chief Financial Officercontrolsince 12/2022 · owns less than 5%
- S••••••••• J•••••• N•••••••• · Co-Foundercontrolsince 09/2011 · owns less than 5%
- I•••••••• A•••••• J•• · Managing Partnercontrolsince 03/2016 · owns 25% to 50% of P••••••• G• L••
- I•••••••• A•••••• J•• · Limited Partnercontrolsince 03/2016 · owns 25% to 50% of P••••••• M••••••••• L•
- S••••••••• J•••••• N•••••••• · Limited Partnercontrolsince 03/2016 · owns 25% to 50% of P••••••• M••••••••• L•
- S••••••••• J•••••• N•••••••• · Managing Partnercontrolsince 03/2016 · owns 50% to 75% of P••••••• G• L••
Entity owners
- P••••••• M••••••••• L• · Memberdirect · owns 75% or more
- P••••••• G• L•• · General Partnerindirect · owns F of P••••••• M••••••••• L•
Related persons
Schedule D 7.A
- P••••••• C•••••• M••••••••• G• L••bankpooled vehicle sponsorn
- P•• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 8Sep 10, 2025 to Mar 31, 2026
- Assets in custody · $5.5B to $5.4BSep 10, 2025 to Mar 31, 2026
- Employees · 23 to 21Sep 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.5B to $5.4BSep 10, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.5B to $5.4BSep 10, 2025 to Mar 31, 2026
- RAUM · $5.5B to $5.4BSep 10, 2025 to Mar 31, 2026
- Advisory employees · 10 to 11Aug 29, 2024 to Mar 31, 2025
- Assets in custody · $4.5B to $5.5BAug 29, 2024 to Mar 31, 2025
- Employees · 22 to 23Aug 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.5B to $5.5BAug 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.5B to $5.5BAug 29, 2024 to Mar 31, 2025
- RAUM · $4.5B to $5.5BAug 29, 2024 to Mar 31, 2025
- Accounts · 4 to 6Apr 25, 2024 to Aug 29, 2024
- Advisory employees · 9 to 10Apr 25, 2024 to Aug 29, 2024
- Pooled vehicle clients · 4 to 6Apr 25, 2024 to Aug 29, 2024
- Assets in custody · $3.9B to $4.5BApr 25, 2024 to Aug 29, 2024
- Employees · 21 to 22Apr 25, 2024 to Aug 29, 2024
- Discretionary RAUM · $3.9B to $4.5BApr 25, 2024 to Aug 29, 2024
- Pooled vehicle RAUM · $3.9B to $4.5BApr 25, 2024 to Aug 29, 2024
- RAUM · $3.9B to $4.5BApr 25, 2024 to Aug 29, 2024
- Assets in custody · $4.1B to $3.9BMar 31, 2023 to Mar 29, 2024
- Employees · 20 to 21Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.1B to $3.9BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.1B to $3.9BMar 31, 2023 to Mar 29, 2024
- RAUM · $4.1B to $3.9BMar 31, 2023 to Mar 29, 2024
- Accounts · 5 to 4Dec 5, 2022 to Mar 31, 2023
- Advisory employees · 12 to 9Dec 5, 2022 to Mar 31, 2023
- Pooled vehicle clients · 5 to 4Dec 5, 2022 to Mar 31, 2023
- Assets in custody · $5.6B to $4.1BDec 5, 2022 to Mar 31, 2023
- Employees · 24 to 20Dec 5, 2022 to Mar 31, 2023
- Private funds · 3 to 2Dec 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.6B to $4.1BDec 5, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.6B to $4.1BDec 5, 2022 to Mar 31, 2023
- RAUM · $5.6B to $4.1BDec 5, 2022 to Mar 31, 2023
- Accounts · 4 to 5Oct 14, 2021 to Mar 31, 2022
- Advisory employees · 10 to 12Oct 14, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 5Oct 14, 2021 to Mar 31, 2022
- Assets in custody · $6.6B to $5.6BOct 14, 2021 to Mar 31, 2022
- Employees · 23 to 24Oct 14, 2021 to Mar 31, 2022
Signals
10 dated events
- P••••••• C•••••• M••••••••• L•• reported RAUM $4.1B, down 27% from $5.6B (2022-12-05 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Iosif Kharazishvili (Chief Financial Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Dec 5, 2022 · Control person joined · fact
- Alan David Angstreich (Co-President, Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2022-12-05)Dec 5, 2022 · Control person left · inference
- Alan David Angstreich (Chief Operating Officer And Chief Financial Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Dec 18, 2020 · Control person joined · fact
- Anthony John Rogers (Chief Financial Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2020-09-24, absent 2020-12-18)Dec 18, 2020 · Control person left · inference
- Kamangar Kamand Daniels (General Counsel And Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Sep 24, 2020 · Control person joined · fact
- Jay Gregory Resnick (Chief Compliance Officer And General Counsel) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2020-03-27, absent 2020-08-25)Aug 25, 2020 · Control person left · inference
- P••••••• C•••••• M••••••••• L•• reported RAUM $5.5B, up 34% from $4.1B (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $4.1B, up 28% from $3.2B (2019-02-25 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $3.2B, up 48% from $2.1B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- 212-291-7480reportedpublic record, Form ADV, Mar 31, 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