DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
P••••• C•••••• P•••••••• L•
Latest filing Sep 16, 2026
First filing on the tape Feb 14, 2012 · 25 filings
SEC status approved since May 1, 2012
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$63.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$167M as of Mar 30, 2026
Mar 25, 2013$213M then
HNW client RAUM$54.4M as of Mar 30, 2026
Mar 29, 2019$42.6M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Mar 25, 20135 then
Private funds1 as of Mar 30, 2026
Mar 25, 20133 then
RAUM -0.8% over the last fiscal year+1.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $2.9MderivedRAUM 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
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $94.1M, 1 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$81.8M56%
- High-net-worth individuals$54.4M37%
- Individuals$8.9M6.1%
- Individual clients
- 28reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $94.1M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.38 fund_share=0.49 institutional_share=0.0 related_bd= related_bank= 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• S•••• C•• P•••••••• L••• | Hedge Fund | $94.1M | 73 | Feb 14, 2012 |
| P••••• P•••••••• L•••no longer reported | Hedge Fund | $50.2M | 22 | Feb 14, 2012 |
| P••••• R••••• • C••••••• F•••• L•••no longer reported | Hedge Fund | $23.0M | 39 | Feb 14, 2012 |
| P••••• F••• L•••no longer reported | Hedge Fund | $13.1M | 19 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• L••••• · Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- W•••••• P••••• A•••• · Limited Partner; Chief Executive Officercontrolsince 12/1990 · owns 75% or more
- W•••••• P••••• A•••• · Sole Shareholdercontrolsince 01/1994 · owns 75% or more of P••••• C•••••• C••••
Entity owners
- P••••• C•••••• C•••• · General Partnerdirect · 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
- Financial planning clients · to unsetMar 30, 2026 to Sep 16, 2026
- Private funds · 1 to unsetMar 30, 2026 to Sep 16, 2026
- Related adviser · false to unsetMar 30, 2026 to Sep 16, 2026
- Related bank · false to unsetMar 30, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetMar 30, 2026 to Sep 16, 2026
- Related insurance company · false to unsetMar 30, 2026 to Sep 16, 2026
- Succession · false to unsetMar 30, 2026 to Sep 16, 2026
- HNW clients · 26 to 27Mar 28, 2025 to Mar 30, 2026
- Individual clients · 29 to 28Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $168M to $167MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $46.6M to $54.4MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $9.7M to $8.9MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $93.6M to $81.8MMar 28, 2025 to Mar 30, 2026
- RAUM · $168M to $167MMar 28, 2025 to Mar 30, 2026
- Accounts · 56 to 57Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Mar 28, 2025
- HNW clients · 25 to 26Mar 29, 2024 to Mar 28, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $158M to $168MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $40.9M to $46.6MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $8.4M to $9.7MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $94.1M to $93.6MMar 29, 2024 to Mar 28, 2025
- RAUM · $158M to $168MMar 29, 2024 to Mar 28, 2025
- Accounts · 54 to 56Mar 31, 2023 to Mar 29, 2024
- HNW clients · 24 to 25Mar 31, 2023 to Mar 29, 2024
- Individual clients · 28 to 29Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $101M to $94.1MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $160M to $158MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $37.5M to $40.9MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $8.0M to $8.4MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $101M to $94.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $160M to $158MMar 31, 2023 to Mar 29, 2024
- Accounts · 52 to 54Mar 30, 2022 to Mar 31, 2023
- HNW clients · 21 to 24Mar 30, 2022 to Mar 31, 2023
- Individual clients · 29 to 28Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $164M to $101MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $210M to $160MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $37.3M to $37.5MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $8.6M to $8.0MMar 30, 2022 to Mar 31, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P••••• C•••••• P•••••••• L• · Family Officesshared crd · manager
How to reach
public business contact points only, each with its source
- Website
- w••.p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 203-862-3300reportedpublic record, Form ADV, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda 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