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••••••••• C•••••• M••••••••• I•• L••
Latest filing Mar 28, 2025
First filing on the tape Feb 14, 2012 · 24 filings
SEC status approved since Mar 13, 2012
RAUM
$62.7M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$62.7M as of Mar 28, 2025
Apr 1, 2013$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2025
Apr 1, 20131 then
Employees (5.A)8 as of Mar 28, 2025
Apr 1, 20137 then
Private funds6 as of Mar 28, 2025
Apr 1, 20135 then
RAUM -68% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2025; 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
- $10.4MderivedRAUM 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
- -68%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 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)
- 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$62.7M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- 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
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 |
|---|---|---|---|---|
| P••••••••• C•••••• E••••• I••• L• | Private Equity Fund | $31.4M | 8 | Apr 1, 2015 |
| P••••••••• C•••••• O••••••••• F••• I••• L• | Other Private Fund | $30.1M | 65 | Feb 14, 2012 |
| P••••••••• C•••••• E••••• M•••••• L• | Private Equity Fund | $17.1M | 2 | Apr 1, 2015 |
| P••••••••• C•••••• O••••••••• F••• I••••• L• | Private Equity Fund | $16.2M | 17 | Feb 14, 2012 |
| P••••••••• C•••••• I•••••••• I•• L•no longer reported | Private Equity Fund | $14.1M | 53 | Feb 14, 2012 |
| P••••••••• C•••••• E••••• I••• L• | Private Equity Fund | $10.9M | 33 | Apr 1, 2015 |
| P••••••••• C•••••• B••••• F••• L• | Private Equity Fund | $10.9M | 37 | Oct 20, 2016 |
| P••••••••• C•••••• I••••••••• L•no longer reported | Other Private Fund | $7.0M | 33 | Feb 14, 2012 |
| P••••••••• C•••••• I•••••••• I•••• L•no longer reported | Private Equity Fund | $2.2M | 3 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• J••••• D•••• · Member, Chief Compliance Officercontrolsince 02/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••••• B••••• G• L••pooled vehicle sponsorn
- P••••••••• B••••• M••••••••• L••investment advisern
- P••••••••• C•••••• E••••• G•pooled vehicle sponsorn
- P••••••••• C•••••• E••••• I•• G•• L•pooled vehicle sponsorn
- P••••••••• C•••••• E••••• I•• G•• L•pooled vehicle sponsorn
- P••••••••• C•••••• E••••• L••investment advisern
- P••••••••• C•••••• O••••••••• G• I••••• L••pooled vehicle sponsorn
- P••••••••• C•••••• O••••••••• G• I••• L••pooled vehicle sponsorn
- P••••••••• C•••••• O••••••••• M•••••• I••••• L••investment advisern
- P••••••••• C•••••• O••••••••• M•••••• I••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $117M to $62.7MJun 19, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $117M to $62.7MJun 19, 2024 to Mar 28, 2025
- RAUM · $117M to $62.7MJun 19, 2024 to Mar 28, 2025
- Discretionary RAUM · $141M to $117MJun 4, 2024 to Jun 19, 2024
- Pooled vehicle RAUM · $141M to $117MJun 4, 2024 to Jun 19, 2024
- RAUM · $141M to $117MJun 4, 2024 to Jun 19, 2024
- Discretionary RAUM · $194M to $141MApr 3, 2024 to Jun 4, 2024
- Pooled vehicle RAUM · $194M to $141MApr 3, 2024 to Jun 4, 2024
- RAUM · $194M to $141MApr 3, 2024 to Jun 4, 2024
- Discretionary RAUM · $206M to $194MMar 8, 2023 to Jan 30, 2024
- Pooled vehicle RAUM · $206M to $194MMar 8, 2023 to Jan 30, 2024
- RAUM · $206M to $194MMar 8, 2023 to Jan 30, 2024
- Discretionary RAUM · $239M to $206MOct 12, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $239M to $206MOct 12, 2022 to Mar 8, 2023
- RAUM · $239M to $206MOct 12, 2022 to Mar 8, 2023
- HQ city · LARCHMONT to OKLAHOMA CITYMar 15, 2022 to Oct 12, 2022
- HQ state · NY to OKMar 15, 2022 to Oct 12, 2022
- Other offices · 1 to 0Mar 15, 2022 to Oct 12, 2022
- Assets in custody · 509982000.0 to unsetMar 30, 2021 to Mar 15, 2022
- Custody of client assets · true to falseMar 30, 2021 to Mar 15, 2022
- Discretionary RAUM · $331M to $239MMar 30, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $331M to $239MMar 30, 2021 to Mar 15, 2022
- RAUM · $331M to $239MMar 30, 2021 to Mar 15, 2022
- Accounts · 7 to 6Apr 2, 2020 to Mar 30, 2021
- Pooled vehicle clients · 7 to 6Apr 2, 2020 to Mar 30, 2021
- Private funds · 9 to 6Apr 2, 2020 to Mar 30, 2021
- Discretionary RAUM · $287M to $331MApr 2, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $287M to $331MApr 2, 2020 to Mar 30, 2021
- RAUM · $287M to $331MApr 2, 2020 to Mar 30, 2021
- Discretionary RAUM · $328M to $287MMar 29, 2019 to Apr 2, 2020
- Pooled vehicle RAUM · $328M to $287MMar 29, 2019 to Apr 2, 2020
- RAUM · $328M to $287MMar 29, 2019 to Apr 2, 2020
- Advisory employees · 4 to 7Mar 31, 2018 to Mar 29, 2019
- Employees · 5 to 8Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $353M to $328MMar 31, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $353M to $328MMar 31, 2018 to Mar 29, 2019
- RAUM · $353M to $328MMar 31, 2018 to Mar 29, 2019
- Charity clients · unset to 0.0May 9, 2017 to Mar 31, 2018
- Corporate clients · unset to 0.0May 9, 2017 to Mar 31, 2018
- HNW clients · unset to 0.0May 9, 2017 to Mar 31, 2018
Signals
3 dated events
- P••••••••• C•••••• M••••••••• I•• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $62.7M)Aug 1, 2025 · Left the SEC roster · derived
- C Glenn Harrison (Member) no longer on Schedule A of P••••••••• C•••••• M••••••••• I•• L•• (listed 2024-01-30, absent 2024-04-03)Apr 3, 2024 · Control person left · inference
- P••••••••• C•••••• M••••••••• I•• L•• reported RAUM $353.4M, down 29% from $494.3M (2017-05-09 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P••••••••• C•••••• M••••••••• I•• L•• · Private Equityshared 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