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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Former SEC-registered adviser

P••••• G••••• D• P••••••••• L•••

Former SEC-registered adviserS?O Paulo, CRD 161040SEC 801-76828IAPD
Latest filing Jul 13, 2017
First filing on the tape Jun 15, 2012 · 9 filings
RAUM
$3.9B
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
41
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.7B gross assets
History
9 filings and snapshots on the tape
RAUM$3.9B as of Mar 24, 2017
Mar 22, 2013$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 22, 20130 then
Employees (5.A)41 as of Mar 24, 2017
Mar 22, 201342 then
Private funds1 as of Mar 24, 2017
Mar 22, 20131 then
RAUM +27% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 13, 2017; 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
$26.7MderivedRAUM 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
+27%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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
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
145reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• F••• S••Other Private Fund$1.7B52Jun 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• L••• F•••••• P• · Directorcontrol
        since 05/2012 · owns less than 5%
      • B••••• A••••••••• Q•••••• D• R•••• · Chief Compliance Officercontrol
        since 04/2012 · owns less than 5%
      • C••••••• A••••••• P•••••• · Directorcontrol
        since 07/2007 · owns less than 5%
      • G•••••• L•••• F•••••••• · Directorcontrol
        since 07/2007 · owns less than 5%
      • Z••••• D• C••••• L••••• M•••• · Directorcontrol
        since 07/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 141 to 145
        Mar 29, 2016 to Mar 24, 2017
      • Advisory employees · 14 to 17
        Mar 29, 2016 to Mar 24, 2017
      • Employees · 37 to 41
        Mar 29, 2016 to Mar 24, 2017
      • Financial planning clients · 26-50 to 51-100
        Mar 29, 2016 to Mar 24, 2017
      • Discretionary RAUM · $3.0B to $3.9B
        Mar 29, 2016 to Mar 24, 2017
      • RAUM · $3.0B to $3.9B
        Mar 29, 2016 to Mar 24, 2017
      • Accounts · 103 to 141
        Aug 11, 2015 to Mar 29, 2016
      • Employees · 33 to 37
        Aug 11, 2015 to Mar 29, 2016
      • Discretionary RAUM · $3.1B to $3.0B
        Aug 11, 2015 to Mar 29, 2016
      • RAUM · $3.1B to $3.0B
        Aug 11, 2015 to Mar 29, 2016
      • Accounts · 109 to 103
        Mar 31, 2014 to Mar 25, 2015
      • Advisory employees · 12 to 14
        Mar 31, 2014 to Mar 25, 2015
      • Employees · 35 to 33
        Mar 31, 2014 to Mar 25, 2015
      • Discretionary RAUM · $3.0B to $3.1B
        Mar 31, 2014 to Mar 25, 2015
      • RAUM · $3.0B to $3.1B
        Mar 31, 2014 to Mar 25, 2015
      • Accounts · 93 to 109
        May 7, 2013 to Mar 31, 2014
      • Advisory employees · 24 to 12
        May 7, 2013 to Mar 31, 2014
      • Employees · 42 to 35
        May 7, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.8B to $3.0B
        May 7, 2013 to Mar 31, 2014
      • RAUM · $2.8B to $3.0B
        May 7, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.8B to $2.8B
        Mar 22, 2013 to May 7, 2013
      • RAUM · $2.8B to $2.8B
        Mar 22, 2013 to May 7, 2013
      • Accounts · 70 to 93
        Jun 15, 2012 to Mar 22, 2013
      • Advisory employees · unset to 24.0
        Jun 15, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Jun 15, 2012 to Mar 22, 2013
      • Employees · unset to 42.0
        Jun 15, 2012 to Mar 22, 2013
      • Financial planning clients · 11-25 to 26-50
        Jun 15, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Jun 15, 2012 to Mar 22, 2013
      • Discretionary RAUM · $3.1B to $2.8B
        Jun 15, 2012 to Mar 22, 2013
      • RAUM · $3.1B to $2.8B
        Jun 15, 2012 to Mar 22, 2013
      Signals
      1 dated events
      • P••••• G••••• D• P••••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 15, 2012 · First SEC registration · fact
      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