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•••• G••••

Former SEC-registered adviserNew York, New YorkCRD 161388SEC 801-73321IAPD
Legal name P•••• G•••• M•••••• L••
Latest filing Mar 28, 2013
First filing on the tape Feb 10, 2012 · 2 filings
RAUM
$285M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$285M gross assets
History
2 filings and snapshots on the tape
RAUM$285M as of Mar 28, 2013
Feb 10, 2012$263M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 7
Private funds2 as of Mar 28, 2013
Feb 10, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$143MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••• G•••• I• L•Private Equity Fund$63.4M8Feb 10, 2012
      P•••• G•••• L•Private Equity Fund$12.3M8Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• H•••••• A••••• · Membercontrol
        since 06/2006 · owns 10% to 25%
      • M••••••• P•••• M• · Member, Senior Vice President, Secretary And Ccocontrol
        since 04/2003 · owns less than 5%
      • P••••••• R•••••• W• · Membercontrol
        since 04/2003 · owns 25% to 50%
      • R••••••• A••••• · Member And Vice Presidentcontrol
        since 04/2003 · owns less than 5%
      • S•••••• M••• · Member And Executive Vice President And Treasurercontrol
        since 04/2003 · owns 10% to 25%
      • B•••••• J•• · Member
        since 05/2008 · owns less than 5%
      • C•••• K••••••••• C••• · Member
        since 06/2007 · owns less than 5%
      • C••••• M••••••• · Member
        since 01/2004 · owns less than 5%
      • C•••••• S•••••• M• · Member
        since 03/2005 · owns less than 5%
      • E••••••• M•••••• L•• · Member
        since 01/2004 · owns less than 5%
      • L••••• K•••••• · Member
        since 01/2004 · owns less than 5%
      Entity owners
      • E••••• O• R••••• B• S•••••• · Member
        direct · 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
      • Advisory employees · unset to 5.0
        Feb 10, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Mar 28, 2013
      • Employees · unset to 7.0
        Feb 10, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Mar 28, 2013
      • Discretionary RAUM · $263M to $285M
        Feb 10, 2012 to Mar 28, 2013
      • RAUM · $263M to $285M
        Feb 10, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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