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•••••••• A•••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 15, 2012 · 26 filings
SEC status approved since Mar 30, 2012
RAUM
$3.0B
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
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$3.0B as of Mar 31, 2026
Apr 1, 2013$398M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)15 as of Mar 31, 2026
Apr 1, 20132 then
Private funds1 as of Mar 31, 2026
Apr 1, 20132 then
RAUM +4.5% over the last fiscal year+1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $608MderivedRAUM 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
- +4.5%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 vehicles, otherreportedItem 5.G
- Custody
- $1.9B, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.62 institutional_share=0.0 related_bd=false related_bank=false 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••••• C••••• I••••••••• V• ••••••• L• | Private Equity Fund | $1.8B | 163 | Mar 27, 2020 |
| B•••••••• S•••••• I••••••••• I•• S•••no longer reported | Private Equity Fund | $345M | 76 | Mar 31, 2014 |
| B•••••••• S•••••• I••••••••• I•• S•••no longer reported | Private Equity Fund | $138M | 51 | Feb 15, 2012 |
| P•••••••• O••••••••• L•no longer reported | Private Equity Fund | $46.5M | 12 | Mar 29, 2019 |
| B•••••••• S•••••• D••• F•••• L•no longer reported | Private Equity Fund | $29.9M | 58 | Feb 15, 2012 |
| B•••••••• S•••••• I••••••••• I•• H••••••• C••••• L•no longer reported | Private Equity Fund | $16.7M | 2 | Mar 29, 2018 |
| B•••••••• S•••••• I••••••••• I•• P•••••••• L•no longer reported | Private Equity Fund | $11.8M | 31 | Mar 29, 2018 |
| B•••••••• S•••••• I••••••••• I•• ••••••• F••••• L•no longer reported | Private Equity Fund | $5.4M | 14 | Mar 29, 2018 |
| B•••••••• C••••• I••••••••• I•• S••• | Private Equity Fund | $0 | 0 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••••• G•••••• · Limited Partnercontrolsince 01/2013 · owns 25% to 50%
- G••••••• D• C••••• P••••• N•• · Chief Executive Officer, Limited Partnercontrolsince 04/2009 · owns 25% to 50%
- K••• D••••••• Y••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- L••••••••• P••••• G•••••• · Limited Partnercontrolsince 04/2009 · owns 25% to 50%
- G••••••• D• C••••• P••••• N•• · Managing Membercontrolsince 04/2009 · owns 50% to 75% of P•••••••• M••••••••• I• L••
- L••••••••• P••••• G•••••• · Managing Membercontrolsince 04/2009 · owns 50% to 75% of P•••••••• M••••••••• I• L••
Entity owners
- P•••••••• M••••••••• I• L•• · General Partnerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- B•••••••• C••••• I••••••••• V• G• L••pooled vehicle sponsorn
- P••••• M••••••••• ••••••• L•••pooled vehicle sponsorn
- P••••••••• I••••••••• L•pooled vehicle sponsorn
- R• M••••••••• I•••••• L•••investment advisern
- R• M••••••••• L••investment advisernRAUM $2.1B
- R•• E•• H•••••••• L•pooled vehicle sponsorn
Advisers that list P•••••••• A•••••••• L• as a related person
- 161569 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9Apr 11, 2025 to Mar 31, 2026
- Assets in custody · $1.7B to $1.9BApr 11, 2025 to Mar 31, 2026
- Employees · 13 to 15Apr 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.9B to $3.0BApr 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.7B to $1.9BApr 11, 2025 to Mar 31, 2026
- RAUM · $2.9B to $3.0BApr 11, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Apr 12, 2024 to Apr 11, 2025
- Assets in custody · $1.8B to $1.7BApr 12, 2024 to Apr 11, 2025
- Employees · 12 to 13Apr 12, 2024 to Apr 11, 2025
- Financial planning clients · unset to Apr 12, 2024 to Apr 11, 2025
- Discretionary RAUM · $3.1B to $2.9BApr 12, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $1.8B to $1.7BApr 12, 2024 to Apr 11, 2025
- RAUM · $3.1B to $2.9BApr 12, 2024 to Apr 11, 2025
- Accounts · 6 to 5Apr 12, 2023 to Mar 28, 2024
- Advisory employees · 6 to 7Apr 12, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 4Apr 12, 2023 to Mar 28, 2024
- Assets in custody · $1.5B to $1.8BApr 12, 2023 to Mar 28, 2024
- Employees · 11 to 12Apr 12, 2023 to Mar 28, 2024
- Private funds · 2 to 1Apr 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.9B to $3.1BApr 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.5B to $1.8BApr 12, 2023 to Mar 28, 2024
- RAUM · $2.9B to $3.1BApr 12, 2023 to Mar 28, 2024
- Advisory activities · 1 to 2Oct 7, 2022 to Mar 31, 2023
- Assets in custody · $798M to $1.5BOct 7, 2022 to Mar 31, 2023
- Employees · 10 to 11Oct 7, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.3B to $2.9BOct 7, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $929M to $1.5BOct 7, 2022 to Mar 31, 2023
- RAUM · $2.3B to $2.9BOct 7, 2022 to Mar 31, 2023
- Accounts · 10 to 6May 10, 2021 to Mar 29, 2022
- Advisory activities · 2 to 1May 10, 2021 to Mar 29, 2022
- Assets in custody · $1.9B to $798MMay 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $2.1B to $2.3BMay 10, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $57.7M to $0May 10, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $755M to $929MMay 10, 2021 to Mar 29, 2022
- RAUM · $2.2B to $2.3BMay 10, 2021 to Mar 29, 2022
- Accounts · 8 to 10May 13, 2020 to Mar 30, 2021
- Advisory employees · 5 to 6May 13, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 5May 13, 2020 to Mar 30, 2021
- Assets in custody · $1.7B to $1.9BMay 13, 2020 to Mar 30, 2021
- Employees · 8 to 10May 13, 2020 to Mar 30, 2021
Signals
3 dated events
- P•••••••• A•••••••• L• reported RAUM $2.9B, up 26% from $2.3B (2022-10-07 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Yeon Douglas Kim (Chief Compliance Officer) appeared on Schedule A of P•••••••• A•••••••• L•Oct 7, 2022 · Control person joined · fact
- P•••••••• A•••••••• L• reported RAUM $1.6B, up 54% from $1.1B (2017-06-13 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•••••••• A•••••••• L• · Independent Sponsorsshared crd · capital_provider
- P•••••••• A•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H••••://WWW.P••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-883-2296reportedpublic record, Form ADV, Mar 31, 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