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••• A••••••• L••
Latest filing Mar 29, 2022
First filing on the tape Aug 14, 2012 · 19 filings
RAUM
$130M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$130M gross assets
History
19 filings and snapshots on the tape
RAUM$130M as of Mar 29, 2022
Feb 21, 2013$57.5M then
HNW client RAUM$0 as of Mar 29, 2022
Mar 26, 2018$39.1M then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Feb 21, 20130 then
Employees (5.A)6 as of Mar 29, 2022
Feb 21, 20131 then
Private funds7 as of Mar 29, 2022
Feb 21, 20133 then
RAUM -13% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
- $18.5MderivedRAUM 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
- -13%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
- $130M, 7 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$130M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $130M for 7 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• H••••••• V• L•• | Private Equity Fund | $24.8M | 58 | Mar 26, 2018 |
| P••••• H••••••• I• L•• | Private Equity Fund | $24.3M | 28 | Mar 26, 2018 |
| P••••• H••••••• I•• L•• | Private Equity Fund | $14.5M | 31 | Feb 21, 2013 |
| P••••• H••••••• V• L•• | Private Equity Fund | $8.7M | 42 | Mar 26, 2018 |
| P••••• H••••••• I• L•• | Private Equity Fund | $7.3M | 32 | Feb 21, 2013 |
| P••••• H••••••• L•• | Private Equity Fund | $4.8M | 12 | Mar 5, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A•••• N•••••••• · Managing Membercontrolsince 09/2009 · owns 75% or more
- S••••••• D•••• · Chief Compliance Officer And Controllercontrolsince 08/2018 · owns less than 5%
Related persons
Schedule D 7.A
- P••••• G•••• L••investment adviserpooled vehicle sponsoryRAUM $803M
- P••••• H••••••• 8• G•• L••pooled vehicle sponsorn
- P••••• H••••••• I• G• L••pooled vehicle sponsorn
Advisers that list P••• A••••••• L•• as a related person
- 293886 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 7May 6, 2021 to Mar 29, 2022
- Pooled vehicle clients · 8 to 7May 6, 2021 to Mar 29, 2022
- Assets in custody · $149M to $130MMay 6, 2021 to Mar 29, 2022
- Discretionary RAUM · $149M to $130MMay 6, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $149M to $130MMay 6, 2021 to Mar 29, 2022
- RAUM · $149M to $130MMay 6, 2021 to Mar 29, 2022
- Assets in custody · $214M to $149MDec 8, 2020 to Mar 31, 2021
- Discretionary RAUM · $214M to $149MDec 8, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $214M to $149MDec 8, 2020 to Mar 31, 2021
- RAUM · $214M to $149MDec 8, 2020 to Mar 31, 2021
- HQ city · NEW YORK to NEW ROCHELLEMar 29, 2020 to Dec 8, 2020
- Assets in custody · $221M to $214MNov 25, 2019 to Mar 29, 2020
- Discretionary RAUM · $221M to $214MNov 25, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $221M to $214MNov 25, 2019 to Mar 29, 2020
- RAUM · $221M to $214MNov 25, 2019 to Mar 29, 2020
- Advisory employees · 1 to 3Mar 27, 2019 to Nov 25, 2019
- Accounts · 13 to 8Mar 27, 2019 to Nov 25, 2019
- Advisory activities · 2 to 1Mar 27, 2019 to Nov 25, 2019
- BD registered reps · 1 to 0Mar 27, 2019 to Nov 25, 2019
- HNW clients · 5 to 0Mar 27, 2019 to Nov 25, 2019
- Assets in custody · unset to 221373394.0Mar 27, 2019 to Nov 25, 2019
- Custody of client assets · false to trueMar 27, 2019 to Nov 25, 2019
- Employees · 1 to 6Mar 27, 2019 to Nov 25, 2019
- Private funds · 8 to 7Mar 27, 2019 to Nov 25, 2019
- Discretionary RAUM · $368M to $221MMar 27, 2019 to Nov 25, 2019
- HNW RAUM · $23.9M to $0Mar 27, 2019 to Nov 25, 2019
- Pooled vehicle RAUM · $344M to $221MMar 27, 2019 to Nov 25, 2019
- RAUM · $368M to $221MMar 27, 2019 to Nov 25, 2019
- Related adviser · false to trueMar 27, 2019 to Nov 25, 2019
- Accounts · 12 to 13Jun 4, 2018 to Mar 27, 2019
- Advisory employees · 3 to 1Jun 4, 2018 to Mar 27, 2019
- Pooled vehicle clients · 7 to 8Jun 4, 2018 to Mar 27, 2019
- Employees · 4 to 1Jun 4, 2018 to Mar 27, 2019
- Private funds · 7 to 8Jun 4, 2018 to Mar 27, 2019
- Discretionary RAUM · $173M to $368MJun 4, 2018 to Mar 27, 2019
- HNW RAUM · $39.1M to $23.9MJun 4, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $134M to $344MJun 4, 2018 to Mar 27, 2019
- RAUM · $173M to $368MJun 4, 2018 to Mar 27, 2019
- Accounts · 112 to 12Mar 10, 2017 to Mar 26, 2018
- Advisory employees · 1 to 3Mar 10, 2017 to Mar 26, 2018
Signals
3 dated events
- P••• A••••••• L•• reported RAUM $221.4M, down 40% from $368.3M (2019-03-27 to 2019-11-25)Nov 25, 2019 · RAUM change · derived
- P••• A••••••• L•• reported RAUM $368.3M, up 113% from $172.9M (2018-06-04 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- P••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 14, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• A••••••• L•• · Private Equityshared crd · organization
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••• A••••••• 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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