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••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Feb 13, 2012 · 28 filings
SEC status approved since Feb 28, 2012
RAUM
$469M
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
11
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$469M as of Mar 26, 2026
Mar 28, 2013$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20130 then
Employees (5.A)11 as of Mar 26, 2026
Mar 28, 20139 then
Private funds4 as of Mar 26, 2026
Mar 28, 20132 then
RAUM -12% over the last fiscal year-2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $78.1MderivedRAUM 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
- -12%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-based, otherreportedItem 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)
- 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$469M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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=1.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• C•••••••• I•••••••• L••no longer reported | Hedge Fund | $190M | 3 | Feb 13, 2012 |
| P•• I•••••••• F••• I••• L•• | Hedge Fund | $167M | 12 | Feb 7, 2014 |
| P•• I•••••••• F••• I•• L•• | Hedge Fund | $123M | 5 | Mar 31, 2019 |
| P•• I•• P•••••••• E••••• I•••••• L•• | Hedge Fund | $67.8M | 5 | Mar 31, 2017 |
| P•• I• P•••••••• E••••• I•••••• L•• | Hedge Fund | $60.1M | 6 | Mar 31, 2019 |
| P••••••• C•••••••• I•••••••• I• ••••• L••no longer reported | Hedge Fund | $8.2M | 38 | Mar 31, 2019 |
| P•• I•••••••• F••• I• L••no longer reported | Hedge Fund | $477,354 | 3 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• R••••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- B•••••• S•••••• J•• · Chief Executive Officercontrolsince 12/2006 · owns less than 5%
- M•••••• J•••• K• · Managing Directorcontrolsince 06/2022 · owns less than 5%
- B•••••• S•••••• J•• · Sole Ownercontrolsince 12/2011 · owns 75% or more of S•• A••••••••• I•••
- B•••••• S•••••• J•• · Sole Ownercontrolsince 08/2013 · owns 75% or more of S•• A••••••••• L•
Entity owners
- S•• A••••••••• I••• · Majority Shareholderdirect · owns 10% to 25%
- S•• A••••••••• L• · Minority Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- P•• I•• M••••••••• L••pooled vehicle sponsory
- P•• I• M••••••••• L••pooled vehicle sponsory
- P••••••• M••••••••• H•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 10Mar 28, 2025 to Mar 26, 2026
- BD registered reps · 2 to 1Mar 28, 2025 to Mar 26, 2026
- Employees · 13 to 11Mar 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $532M to $469MMar 28, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $532M to $469MMar 28, 2025 to Mar 26, 2026
- RAUM · $532M to $469MMar 28, 2025 to Mar 26, 2026
- Advisory employees · 13 to 12Jun 5, 2024 to Mar 28, 2025
- Employees · 14 to 13Jun 5, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $535M to $532MJun 5, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $535M to $532MJun 5, 2024 to Mar 28, 2025
- RAUM · $535M to $532MJun 5, 2024 to Mar 28, 2025
- BD registered reps · 1 to 2Apr 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $493M to $535MApr 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $493M to $535MApr 27, 2023 to Mar 27, 2024
- RAUM · $493M to $535MApr 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $506M to $493MMar 19, 2023 to Apr 27, 2023
- Pooled vehicle RAUM · $506M to $493MMar 19, 2023 to Apr 27, 2023
- RAUM · $506M to $493MMar 19, 2023 to Apr 27, 2023
- Discretionary RAUM · $402M to $506MDec 21, 2022 to Mar 19, 2023
- Pooled vehicle RAUM · $402M to $506MDec 21, 2022 to Mar 19, 2023
- RAUM · $402M to $506MDec 21, 2022 to Mar 19, 2023
- Related adviser · true to falseMar 30, 2022 to Dec 21, 2022
- Related bank · true to falseMar 30, 2022 to Dec 21, 2022
- Related broker-dealer · true to falseMar 30, 2022 to Dec 21, 2022
- Advisory employees · 8 to 13Nov 1, 2021 to Mar 30, 2022
- BD registered reps · 0 to 1Nov 1, 2021 to Mar 30, 2022
- Employees · 12 to 14Nov 1, 2021 to Mar 30, 2022
- Discretionary RAUM · $414M to $402MNov 1, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $414M to $402MNov 1, 2021 to Mar 30, 2022
- RAUM · $414M to $402MNov 1, 2021 to Mar 30, 2022
- Accounts · 7 to 6Dec 7, 2020 to Mar 29, 2021
- Pooled vehicle clients · 7 to 6Dec 7, 2020 to Mar 29, 2021
- Employees · 10 to 12Dec 7, 2020 to Mar 29, 2021
- Private funds · 5 to 4Dec 7, 2020 to Mar 29, 2021
- Discretionary RAUM · $394M to $414MDec 7, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $394M to $414MDec 7, 2020 to Mar 29, 2021
- RAUM · $394M to $414MDec 7, 2020 to Mar 29, 2021
- Advisory employees · 5 to 8Jul 19, 2019 to Mar 26, 2020
- Private funds · 7 to 5Jul 19, 2019 to Mar 26, 2020
Signals
10 dated events
- Jay R••••• Hellman (Managing Director) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2023-04-27, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- R••••• M•••••• B•••• (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Apr 27, 2023 · Control person joined · fact
- C••••• J••••• D••••• (Chief Compliance Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2023-03-19, absent 2023-04-27)Apr 27, 2023 · Control person left · inference
- P••••••• C•••••• M••••••••• L•• reported RAUM $505.9M, up 26% from $402.4M (2022-12-21 to 2023-03-19)Mar 19, 2023 · RAUM change · derived
- D Paul Mullaney (Chief Credit Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2022-12-21)Dec 21, 2022 · Control person left · inference
- Yates Curtis Arledge (Equity Holder) no longer on Schedule A of P••••••• C•••••• M••••••••• L•• (listed 2022-03-30, absent 2022-12-21)Dec 21, 2022 · Control person left · inference
- K John Malysa (Managing Director) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Dec 21, 2022 · Control person joined · fact
- Yates Curtis Arledge (Equity Holder) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Dec 7, 2020 · Control person joined · fact
- C••••• J••••• D••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Jul 19, 2019 · Control person joined · fact
- D Paul Mullaney (Chief Credit Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L••Mar 31, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- P•••••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-906-8682reportedpublic record, Form ADV, Mar 26, 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
Across the graphs
P••••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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