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•••••• E••••• I••••••••• I•••
Legal name P•••••• E••••• I••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Feb 13, 2012 · 16 filings
SEC status approved since Mar 30, 2012
RAUM
$85.4M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$85.4M as of Mar 27, 2026
Apr 1, 2013$310M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Apr 1, 20130 then
Employees (5.A)4 as of Mar 27, 2026
Apr 1, 20139 then
Private funds2 as of Mar 27, 2026
Apr 1, 20135 then
RAUM -9.0% over the last fiscal year-1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $42.7MderivedRAUM 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
- -9.0%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$85.4M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• E••••• I••••••••• F••• V• L••• | Private Equity Fund | $81.6M | 70 | Feb 13, 2012 |
| P•••••• E••••• I••••••••• F••• I•• L••• | Private Equity Fund | $8.0M | 104 | Feb 13, 2012 |
| P•• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $3.4M | 4 | Feb 13, 2012 |
| P•• C•••••• P•••••••• L•••no longer reported | Private Equity Fund | $2.0M | 13 | Feb 13, 2012 |
| P•••••• E••••• I••••••••• F••• I•• L•••no longer reported | Private Equity Fund | $334,000 | 9 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••••• R•••••• · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- P•••••••• D••••• B••••• · M••••••• Directorcontrolsince 09/1992 · owns less than 5%
- S••••••• C••••••• P••• · M••••••• Directorcontrolsince 09/1992 · owns 75% or more
Related persons
Schedule D 7.A
- P•• M••••••• P••••••• I•• L••investment adviserpooled vehicle sponsory
- P•• M••••••• P••••••• V• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $93.9M to $85.4MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $93.9M to $85.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $93.9M to $85.4MMar 28, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $89.7M to $93.9MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $89.7M to $93.9MMar 27, 2024 to Mar 28, 2025
- RAUM · $89.7M to $93.9MMar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $90.2M to $89.7MMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $90.2M to $89.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $90.2M to $89.7MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $101M to $90.2MMar 25, 2022 to Mar 29, 2023
- Advisory employees · 4 to 3Mar 25, 2022 to Mar 29, 2023
- Employees · 5 to 4Mar 25, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $101M to $90.2MMar 25, 2022 to Mar 29, 2023
- RAUM · $101M to $90.2MMar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $93.4M to $101MMar 29, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $93.4M to $101MMar 29, 2021 to Mar 25, 2022
- RAUM · $93.4M to $101MMar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $99.0M to $93.4MApr 14, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $99.0M to $93.4MApr 14, 2020 to Mar 29, 2021
- RAUM · $99.0M to $93.4MApr 14, 2020 to Mar 29, 2021
- Advisory employees · 3 to 4Mar 29, 2019 to Apr 14, 2020
- Employees · 4 to 5Mar 29, 2019 to Apr 14, 2020
- Discretionary RAUM · $90.8M to $99.0MMar 29, 2019 to Apr 14, 2020
- Pooled vehicle RAUM · $90.8M to $99.0MMar 29, 2019 to Apr 14, 2020
- RAUM · $90.8M to $99.0MMar 29, 2019 to Apr 14, 2020
- Assets in custody · 0.0 to unsetMar 27, 2018 to Mar 29, 2019
- Custody of client assets · true to falseMar 27, 2018 to Mar 29, 2019
- Other offices · 1 to 0Mar 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $119M to $90.8MMar 27, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $119M to $90.8MMar 27, 2018 to Mar 29, 2019
- RAUM · $119M to $90.8MMar 27, 2018 to Mar 29, 2019
- Advisory employees · 4 to 3Mar 30, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 2.0Mar 30, 2017 to Mar 27, 2018
- Employees · 5 to 4Mar 30, 2017 to Mar 27, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P•••••• E••••• I••••••••• I••• · Independent Sponsorsshared crd · capital_provider
- P•••••• E••••• I••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.p•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-750-1228reportedpublic record, Form ADV, Mar 27, 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