DFX Intelligence
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Former SEC-registered adviser
P•••••• R••••• P•••••••• L••
Latest filing Mar 31, 2014
First filing on the tape Mar 19, 2012 · 6 filings
RAUM
$284M
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$284M gross assets
History
6 filings and snapshots on the tape
RAUM$284M as of Mar 31, 2014
Apr 1, 2013$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2014
Apr 1, 20131 then
Employees (5.A)6 as of Mar 31, 2014
Apr 1, 20136 then
Private funds2 as of Mar 31, 2014
Apr 1, 20132 then
RAUM -4.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2014; every figure names its basis
- RAUM per advisor
- $284MderivedRAUM 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
- $142MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $284M, 2 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• I•• L••• A•• P•• I•••••••• I•• L••• | Real Estate Fund | $218M | 30 | Mar 19, 2012 |
| P•••••• C•••••• C••• F•••• L••• | Real Estate Fund | $65.6M | 61 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••••• P••• · Managing Member / Presidentcontrolsince 12/2005 · owns 75% or more
- R••••• R•••••• · Chief Financial Officer / Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• R••••• C••••••• L••investment companyy
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Jan 8, 2014 to Mar 31, 2014
- Assets in custody · $299M to $284MJan 8, 2014 to Mar 31, 2014
- Discretionary RAUM · $298M to $284MJan 8, 2014 to Mar 31, 2014
- RAUM · $298M to $284MJan 8, 2014 to Mar 31, 2014
- Advisory employees · 3 to 4Oct 29, 2012 to Apr 1, 2013
- Assets in custody · $270M to $299MOct 29, 2012 to Apr 1, 2013
- Employees · 7 to 6Oct 29, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 1Oct 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $279M to $298MOct 29, 2012 to Apr 1, 2013
- RAUM · $279M to $298MOct 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 3.0Mar 26, 2012 to Oct 29, 2012
- BD registered reps · unset to 0.0Mar 26, 2012 to Oct 29, 2012
- Employees · unset to 7.0Mar 26, 2012 to Oct 29, 2012
- State-registered IARs · unset to 0.0Mar 26, 2012 to Oct 29, 2012
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.
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
Across the graphs
P•••••• R••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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