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SEC-registered adviser
P••••••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 23 filings
SEC status approved since May 17, 2018
RAUM
$228M
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
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$228M as of Mar 31, 2026
Mar 27, 2013$396M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)6 as of Mar 31, 2026
Mar 27, 20138 then
Private funds3 as of Mar 31, 2026
Mar 27, 20132 then
RAUM +5.7% over the last fiscal year+12% 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
- $45.7MderivedRAUM 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
- +5.7%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 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)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$227M100%
- Other investment advisers$1.0M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• C•••••• L••••••••• E••••• M••••• I•• L••• | Hedge Fund | $60.1M | 2 | Apr 27, 2021 |
| P••••••• C•••••• L••••••••• E••••• F•••• L• | Hedge Fund | $58.3M | 9 | Mar 28, 2016 |
| P••••••• C••••••• P•••••••• L•no longer reported | Private Equity Fund | $45.1M | 28 | Feb 14, 2012 |
| P••••••• L••••••••• E••••• M•••••• L•••no longer reported | Hedge Fund | $33.2M | 14 | Feb 14, 2012 |
| P••••••• C•••••• L••••••••• E••••• F••• I•• L••• | Hedge Fund | $1.9M | 4 | Aug 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• F••••• · Chief Financial Officer / Chief Compliance Officercontrolsince 11/2009 · owns less than 5%
- Z••••••••• M••••••• J••• · Limited Partner And Chief Investment Officercontrolsince 05/2005 · owns 75% or more
- Z••••••••• M••••••• J••• · Managing Membercontrolsince 02/2005 · owns 75% or more of P••••••• M••••••••• G•• L••
Entity owners
- P••••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 5 to 6Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $216M to $228MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $215M to $227MMar 28, 2025 to Mar 31, 2026
- RAUM · $216M to $228MMar 28, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $211M to $216MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $210M to $215MMar 27, 2024 to Mar 28, 2025
- RAUM · $211M to $216MMar 27, 2024 to Mar 28, 2025
- Accounts · 8 to 5Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 7 to 4Mar 30, 2023 to Mar 27, 2024
- Employees · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $163M to $211MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $162M to $210MMar 30, 2023 to Mar 27, 2024
- RAUM · $163M to $211MMar 30, 2023 to Mar 27, 2024
- Accounts · 10 to 8Mar 22, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Mar 22, 2022 to Mar 30, 2023
- Pension plan clients · 1 to 0Mar 22, 2022 to Mar 30, 2023
- Pooled vehicle clients · 8 to 7Mar 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $761M to $163MMar 22, 2022 to Mar 30, 2023
- Pension RAUM · $235M to $0Mar 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $525M to $162MMar 22, 2022 to Mar 30, 2023
- RAUM · $761M to $163MMar 22, 2022 to Mar 30, 2023
- Accounts · 8 to 10May 14, 2021 to Mar 22, 2022
- Pooled vehicle clients · 6 to 8May 14, 2021 to Mar 22, 2022
- Discretionary RAUM · $840M to $761MMay 14, 2021 to Mar 22, 2022
- Pension RAUM · $416M to $235MMay 14, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $423M to $525MMay 14, 2021 to Mar 22, 2022
- RAUM · $840M to $761MMay 14, 2021 to Mar 22, 2022
- Private funds · 2 to 3Mar 25, 2021 to Apr 27, 2021
- Accounts · 7 to 8Mar 23, 2020 to Mar 25, 2021
- Pension plan clients · unset to 1.0Mar 23, 2020 to Mar 25, 2021
- Pooled vehicle clients · 4 to 6Mar 23, 2020 to Mar 25, 2021
- Discretionary RAUM · $403M to $840MMar 23, 2020 to Mar 25, 2021
- Pension RAUM · $262M to $416MMar 23, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $120M to $423MMar 23, 2020 to Mar 25, 2021
- RAUM · $403M to $840MMar 23, 2020 to Mar 25, 2021
- Accounts · 4 to 7Aug 26, 2019 to Mar 23, 2020
- Discretionary RAUM · $243M to $403MAug 26, 2019 to Mar 23, 2020
- Pension RAUM · $150M to $262MAug 26, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $92.3M to $120MAug 26, 2019 to Mar 23, 2020
Signals
7 dated events
- P••••••• C•••••• M••••••••• L• reported RAUM $162.7M, down 79% from $761.2M (2022-03-22 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- P••••••• C•••••• M••••••••• L• reported RAUM $839.9M, up 108% from $403.0M (2020-03-23 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- P••••••• C•••••• M••••••••• L• reported RAUM $403.0M, up 66% from $243.3M (2019-08-26 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- P••••••• C•••••• M••••••••• L• reported RAUM $243.3M, down 32% from $358.5M (2019-06-05 to 2019-08-20)Aug 20, 2019 · RAUM change · derived
- P••••••• C•••••• M••••••••• L• reported RAUM $358.5M, up 123% from $161.0M (2018-06-06 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- P••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 17, 2018 · First SEC registration · fact
- P••••••• C•••••• M••••••••• L• reported RAUM $161.0M, up 168% from $60.1M (2016-03-28 to 2018-04-17)Apr 17, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 203-302-2432reportedpublic 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