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 30, 2026
First filing on the tape Feb 13, 2012 · 29 filings
SEC status approved since Feb 22, 2012
RAUM
$2.8B
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
9
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.8B as of Mar 30, 2026
Mar 28, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)9 as of Mar 30, 2026
Mar 28, 201319 then
Private funds4 as of Mar 30, 2026
Mar 28, 20131 then
RAUM -7.3% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $707MderivedRAUM 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
- -7.3%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.8B, 4 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.8B for 4 clientsreported
- Compensation
- % of AUMreported
- 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• I••••••••• P••••••• I• L•••no longer reported | Private Equity Fund | $2.6B | 21 | Aug 23, 2017 |
| P••••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.4B | 28 | Jul 7, 2014 |
| P••••••• C•••••• P••••••• V• L••• | Private Equity Fund | $1.4B | 37 | Aug 23, 2017 |
| P••••••• E••••• P•••••••• L•• | Private Equity Fund | $1.4B | 26 | Mar 29, 2022 |
| P••••••• C•••••• P••••••• I••• L•••no longer reported | Hedge Fund | $747M | 28 | Feb 13, 2012 |
| D••••••• T•• I• L• | Private Equity Fund | $607M | 21 | Jul 31, 2019 |
| P••••••• I••••••••• P••••••• L••• | Private Equity Fund | $141M | 24 | Mar 24, 2021 |
Owners and control persons
Schedule A and B, latest filing
- O••••••••• K••••• F•••••• · Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- H••••••• J•••• C••••••••• · Shareholdercontrolsince 10/2009 · owns 75% or more of P••••••• P• I••••••••• H•••••• L••••••
- K••••••• A••••••••• M••• · Shareholdercontrolsince 10/2009 · owns 75% or more of P••••••• P• I••••••••• H•••••• I• L••••••
Entity owners
- P••••••• P• I••••••••• U• L•••••• · Managing Member Of P••••••• C•••••• M••••••••• L••direct · owns 75% or more
- P••••••• P• I••••••••• H•••••• I• L•••••• · Shareholderindirect · owns 50% to 75% of P••••••• P• I••••••••• U• L••••••
- P••••••• P• I••••••••• H•••••• L•••••• · Shareholderindirect · owns 50% to 75% of P••••••• P• I••••••••• U• L••••••
- P•• P• I••••••••• H•••••••• L•• · Shareholderindirect · owns 50% to 75% of P••••••• P• I••••••••• H•••••• L••••••
Related persons
Schedule D 7.A
- D••••••• T•• A••••••• I• L••pooled vehicle sponsorn
- P••••••• C•••••• M••••••••• L••investment advisern
- P••••••• E••••• A••••••• V• L•••pooled vehicle sponsorn
- P••••••• E••••• P••••••• G• L••••••pooled vehicle sponsorn
- P••••••• I••••••••• A•••••••• L••pooled vehicle sponsorn
- P••••••• P• I••••••••• M•••• L••••••investment adviserbankn
Advisers that list P••••••• C•••••• M••••••••• L•• as a related person
- 333142 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $3.1B to $2.8BJul 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.1B to $2.8BJul 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.1B to $2.8BJul 11, 2025 to Mar 30, 2026
- RAUM · $3.1B to $2.8BJul 11, 2025 to Mar 30, 2026
- Financial planning clients · unset to Apr 4, 2025 to Jul 11, 2025
- Advisory employees · 6 to 5Aug 9, 2024 to Apr 4, 2025
- Assets in custody · $3.5B to $3.1BAug 9, 2024 to Apr 4, 2025
- Employees · 10 to 9Aug 9, 2024 to Apr 4, 2025
- Other offices · 0 to 1Aug 9, 2024 to Apr 4, 2025
- Discretionary RAUM · $3.5B to $3.1BAug 9, 2024 to Apr 4, 2025
- Pooled vehicle RAUM · $3.5B to $3.1BAug 9, 2024 to Apr 4, 2025
- RAUM · $3.5B to $3.1BAug 9, 2024 to Apr 4, 2025
- Assets in custody · $2.2B to $3.5BMar 22, 2024 to Aug 9, 2024
- Discretionary RAUM · $2.2B to $3.5BMar 22, 2024 to Aug 9, 2024
- Pooled vehicle RAUM · $2.2B to $3.5BMar 22, 2024 to Aug 9, 2024
- RAUM · $2.2B to $3.5BMar 22, 2024 to Aug 9, 2024
- Accounts · 5 to 4Mar 20, 2023 to Mar 22, 2024
- Advisory employees · 8 to 6Mar 20, 2023 to Mar 22, 2024
- Pooled vehicle clients · 5 to 4Mar 20, 2023 to Mar 22, 2024
- Assets in custody · $5.7B to $2.2BMar 20, 2023 to Mar 22, 2024
- Employees · 12 to 10Mar 20, 2023 to Mar 22, 2024
- Private funds · 5 to 4Mar 20, 2023 to Mar 22, 2024
- Discretionary RAUM · $5.7B to $2.2BMar 20, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $5.7B to $2.2BMar 20, 2023 to Mar 22, 2024
- RAUM · $5.7B to $2.2BMar 20, 2023 to Mar 22, 2024
- Advisory employees · 9 to 8Mar 29, 2022 to Mar 20, 2023
- Assets in custody · $7.8B to $5.7BMar 29, 2022 to Mar 20, 2023
- Employees · 14 to 12Mar 29, 2022 to Mar 20, 2023
- Other offices · 1 to 0Mar 29, 2022 to Mar 20, 2023
- Discretionary RAUM · $7.8B to $5.7BMar 29, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $7.8B to $5.7BMar 29, 2022 to Mar 20, 2023
- RAUM · $7.8B to $5.7BMar 29, 2022 to Mar 20, 2023
- Accounts · 4 to 5Jul 20, 2021 to Mar 29, 2022
- Advisory employees · 8 to 9Jul 20, 2021 to Mar 29, 2022
- Pooled vehicle clients · 4 to 5Jul 20, 2021 to Mar 29, 2022
- Assets in custody · $8.9B to $7.8BJul 20, 2021 to Mar 29, 2022
- Employees · 10 to 14Jul 20, 2021 to Mar 29, 2022
- Private funds · 4 to 5Jul 20, 2021 to Mar 29, 2022
- Discretionary RAUM · $0 to $7.8BJul 20, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $8.9B to $0Jul 20, 2021 to Mar 29, 2022
Signals
4 dated events
- P••••••• C•••••• M••••••••• L•• reported RAUM $3.5B, up 58% from $2.2B (2024-03-22 to 2024-08-09)Aug 9, 2024 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $2.2B, down 61% from $5.7B (2023-03-20 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $5.7B, down 27% from $7.8B (2022-03-29 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- P••••••• C•••••• M••••••••• L•• reported RAUM $12.1B, up 82% from $6.6B (2017-08-23 to 2018-03-09)Mar 9, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (212 ) 207-6820reportedpublic record, Form ADV, Mar 30, 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