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•••••• V••• A•••• M••••••••• L••
Latest filing Mar 22, 2019
First filing on the tape May 14, 2012 · 21 filings
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.1%
$4.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$13.4M gross assets
History
21 filings and snapshots on the tape
RAUM$149M as of Mar 22, 2019
Mar 27, 2013$3.1M then
HNW client RAUM$4.7M as of Mar 22, 2019
Mar 28, 2018$5.2M then
State-registered IARs (5.B.3)2 as of Mar 22, 2019
Mar 27, 20130 then
Employees (5.A)19 as of Mar 22, 2019
Mar 27, 201317 then
Private funds1 as of Mar 22, 2019
Mar 28, 20182 then
RAUM -26% over the last fiscal yearIARs 4 to 2offices 2 to 0
Practice profile
derived from the filing of Mar 22, 2019; every figure names its basis
- RAUM per advisor
- $74.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $388,417derivedHNW RAUM over HNW clients
- Average account
- $8.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$69.2M47%
- State and municipal entities$55.5M38%
- Investment companies$18.6M13%
- High-net-worth individuals$4.7M3.2%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- n/areported
- 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
- K•••••• P••••• A•••••••• to W•••••• A••••••• L•May 1, 2014 · Other
Joined, latest
- K•••••• P••••• A•••••••• from C••••••••• I••••••••• P••••••• L••May 28, 2013 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• I••••••••• S•••• C•• F•••• L•••no longer reported | Other Private Fund | $4.7M | 13 | May 24, 2013 |
| P••• G••••• I••••••••• F•••• L•• | Hedge Fund | $834,751 | 1 | Mar 8, 2017 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S•••••• A••••• · Chief Operating Officer/Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- A•••••• M••••••• L• · Membersince 01/2014 · owns 5% to 10%
- B••••••••• J••••• L•••••• · Membersince 09/2014 · owns 10% to 25%
- E•••••• B••••• K•••••• · Chief Financial Officersince 07/2012 · owns less than 5%
- L••••••• D••••• A•••• · Membersince 09/2014 · owns 10% to 25%
Entity owners
- C••••• T•••••• L• · Managing Memberdirect · owns 25% to 50%
- C••••• G•• L•• · General Partnerindirect · owns F of C••••• T•••••• L•
Related persons
Schedule D 7.A
- B••• A•••••••• L••••••broker-dealern
- B••• H••• K••• L••••••broker-dealern
- B••• L••••••broker-dealern
- B••• S•••••••• P•• L•••broker-dealern
- B•••• L••broker-dealern
- Perlus Investment Management Llpinvestment adviseryRAUM $69.1M
- P•••••• V••• V•••••••• L••pooled vehicle sponsory
- P••• A••••••• A•••••••• L••pooled vehicle sponsory
- P••• A••••••• M••••••••• L••pooled vehicle sponsory
- P••• L••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 18Dec 6, 2018 to Mar 22, 2019
- Advisory employees · 6 to 5Dec 6, 2018 to Mar 22, 2019
- BD registered reps · 5 to 4Dec 6, 2018 to Mar 22, 2019
- Pooled vehicle clients · 3 to 2Dec 6, 2018 to Mar 22, 2019
- Employees · 23 to 19Dec 6, 2018 to Mar 22, 2019
- Insurance-licensed employees · 1 to 0Dec 6, 2018 to Mar 22, 2019
- State-registered IARs · 4 to 2Dec 6, 2018 to Mar 22, 2019
- Other offices · 2 to 0Dec 6, 2018 to Mar 22, 2019
- Private funds · 2 to 1Dec 6, 2018 to Mar 22, 2019
- Discretionary RAUM · $201M to $149MDec 6, 2018 to Mar 22, 2019
- HNW RAUM · $5.2M to $4.7MDec 6, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $112M to $69.2MDec 6, 2018 to Mar 22, 2019
- RAUM · $201M to $149MDec 6, 2018 to Mar 22, 2019
- Accounts · 25 to 20Aug 16, 2017 to Mar 28, 2018
- HNW clients · unset to 12.0Aug 16, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 3.0Aug 16, 2017 to Mar 28, 2018
- Employees · 22 to 23Aug 16, 2017 to Mar 28, 2018
- Other offices · unset to 2.0Aug 16, 2017 to Mar 28, 2018
- Discretionary RAUM · $216M to $201MAug 16, 2017 to Mar 28, 2018
- HNW RAUM · unset to 5160864.0Aug 16, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 112112576.0Aug 16, 2017 to Mar 28, 2018
- RAUM · $216M to $201MAug 16, 2017 to Mar 28, 2018
- Accounts · 19 to 25Mar 8, 2017 to Jul 14, 2017
- Advisory activities · 3 to 4Mar 8, 2017 to Jul 14, 2017
- Employees · 21 to 22Mar 8, 2017 to Jul 14, 2017
- Discretionary RAUM · $119M to $216MMar 8, 2017 to Jul 14, 2017
- RAUM · $119M to $216MMar 8, 2017 to Jul 14, 2017
- Accounts · 16 to 19Jan 27, 2017 to Mar 8, 2017
- Advisory employees · 5 to 6Jan 27, 2017 to Mar 8, 2017
- Employees · 18 to 21Jan 27, 2017 to Mar 8, 2017
- Insurance-licensed employees · 0 to 1Jan 27, 2017 to Mar 8, 2017
- State-registered IARs · 3 to 4Jan 27, 2017 to Mar 8, 2017
- Private funds · 1 to 2Jan 27, 2017 to Mar 8, 2017
- Discretionary RAUM · $116M to $119MJan 27, 2017 to Mar 8, 2017
- RAUM · $116M to $119MJan 27, 2017 to Mar 8, 2017
- Accounts · 7 to 16Dec 26, 2013 to Jan 27, 2017
- Advisory employees · 6 to 5Dec 26, 2013 to Jan 27, 2017
- BD registered reps · 3 to 5Dec 26, 2013 to Jan 27, 2017
- Employees · 19 to 18Dec 26, 2013 to Jan 27, 2017
- State-registered IARs · 4 to 3Dec 26, 2013 to Jan 27, 2017
Signals
2 dated events
- Robert Steven Starker (Member) no longer on Schedule A of P•••••• V••• A•••• M••••••••• L•• (listed 2018-12-06, absent 2019-03-22)Mar 22, 2019 · Control person left · inference
- P•••••• V••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 27, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• V••• A•••• M••••••••• L•• · Venture Capitalshared 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