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Former SEC-registered adviser

P••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 161546SEC 801-74301IAPD
Latest filing Mar 28, 2019
First filing on the tape Feb 16, 2012 · 13 filings
RAUM
$205M
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$175M gross assets
History
13 filings and snapshots on the tape
RAUM$205M as of Mar 28, 2019
Mar 28, 2013$791M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20130 then
Employees (5.A)14 as of Mar 28, 2019
Mar 28, 201319 then
Private funds2 as of Mar 28, 2019
Mar 28, 20132 then
RAUM -48% over the last fiscal year-56% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
$29.3MderivedRAUM 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
-48%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
Custody
$205M, 7 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$205M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$205M for 7 clientsreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• G••••• O••••••••• M••••• F••• L••••••Hedge Fund$44.8M20Feb 16, 2012
      P••••••• O••••••••• M••••• F••• L•Hedge Fund$512,52533Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••• R••• · Chief Executive Officer And Chief Investment Officercontrol
        since 08/2009 · owns 75% or more
      • E••••• C••••••••• K••• · Acting Chief Financial Officercontrol
        since 12/2016 · owns less than 5%
      • M•••••••• J•••• J• · General Counsel And Chief Compliance Officercontrol
        since 06/2018 · owns less than 5%
      • A••• R••• · Managing Member Of P••••••• C•••••• M••••••••• G• L••control
        since 09/2013 · owns 75% or more of P••••••• C•••••• M••••••••• G• L••
      Entity owners
      • P••••••• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • P••••••• G• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Mar 26, 2018 to Mar 28, 2019
      • Advisory employees · 8 to 9
        Mar 26, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 6 to 7
        Mar 26, 2018 to Mar 28, 2019
      • Assets in custody · $393M to $205M
        Mar 26, 2018 to Mar 28, 2019
      • Discretionary RAUM · $393M to $205M
        Mar 26, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $393M to $205M
        Mar 26, 2018 to Mar 28, 2019
      • RAUM · $393M to $205M
        Mar 26, 2018 to Mar 28, 2019
      • Advisory employees · 9 to 8
        Mar 31, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 6.0
        Mar 31, 2017 to Mar 26, 2018
      • Assets in custody · $799M to $393M
        Mar 31, 2017 to Mar 26, 2018
      • Employees · 18 to 14
        Mar 31, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 26, 2018
      • Discretionary RAUM · $799M to $393M
        Mar 31, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 393397512.0
        Mar 31, 2017 to Mar 26, 2018
      • RAUM · $799M to $393M
        Mar 31, 2017 to Mar 26, 2018
      • Advisory employees · 14 to 9
        Jun 28, 2016 to Mar 31, 2017
      • Assets in custody · $2.4B to $799M
        Jun 28, 2016 to Mar 31, 2017
      • Employees · 32 to 18
        Jun 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.4B to $799M
        Jun 28, 2016 to Mar 31, 2017
      • RAUM · $2.4B to $799M
        Jun 28, 2016 to Mar 31, 2017
      • Accounts · 8 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 15 to 14
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $1.9B to $2.4B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 39 to 32
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.9B to $2.4B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.9B to $2.4B
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $1.8B to $1.9B
        Mar 20, 2015 to Mar 31, 2015
      • Employees · 23 to 39
        Mar 20, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.8B to $1.9B
        Mar 20, 2015 to Mar 31, 2015
      • RAUM · $1.8B to $1.9B
        Mar 20, 2015 to Mar 31, 2015
      • Related bank · false to true
        Mar 20, 2015 to Mar 31, 2015
      • Assets in custody · $1.6B to $1.8B
        Nov 21, 2013 to Mar 31, 2014
      • Employees · 24 to 23
        Nov 21, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.6B to $1.8B
        Nov 21, 2013 to Mar 31, 2014
      • RAUM · $1.6B to $1.8B
        Nov 21, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Oct 11, 2013 to Nov 21, 2013
      • Business name · P••••••• C•••••• M••••••••• L•• to P••••••• C•••••• M••••••••• L•
        Oct 11, 2013 to Nov 21, 2013
      • Assets in custody · $1.1B to $1.6B
        Oct 11, 2013 to Nov 21, 2013
      • Employees · 23 to 24
        Oct 11, 2013 to Nov 21, 2013
      Signals
      4 dated events
      • P••••••• C•••••• M••••••••• L• reported RAUM $205.4M, down 48% from $393.4M (2018-03-26 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • J. John Mcgreevy (General Counsel And Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• L•
        Mar 28, 2019 · Control person joined · fact
      • P••••••• C•••••• M••••••••• L• reported RAUM $393.4M, down 51% from $799.3M (2017-03-31 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      • P••••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 11, 2013 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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