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•• I••••••••• A•••••••• L••

Former SEC-registered adviserFulton, MarylandCRD 161943SEC 801-74506IAPD
Latest filing Mar 18, 2019
First filing on the tape Mar 5, 2012 · 11 filings
RAUM
$18.8M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$18.8M as of Mar 18, 2019
Mar 13, 2013$15.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 18, 2019
Mar 13, 20134 then
Employees (5.A)4 as of Mar 18, 2019
Mar 13, 20134 then
Private funds: no history
RAUM -2.8% over the last fiscal year+4.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 2019; every figure names its basis
RAUM per advisor
$4.7MderivedRAUM 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
$18.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$18.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• R•••••• H•••• · Managing Membercontrol
        since 12/2011 · owns 50% to 75% of P•• C••••••••• L••
      • K••••• T••••••• J•••• · Membercontrol
        since 12/2011 · owns 50% to 75% of P•• C••••••••• L••
      • G•••••••• J•••••••• V••••• · Member
        since 11/2011 · owns 10% to 25%
      • G•••••••• L•••••• G••• · Chief Compliance Officer
        since 02/2012 · owns less than 5%
      Entity owners
      • P•• C••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P•• I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $19.3M to $18.8M
        Mar 6, 2018 to Mar 18, 2019
      • RAUM · $19.3M to $18.8M
        Mar 6, 2018 to Mar 18, 2019
      • BD registered reps · 5 to 4
        Nov 1, 2017 to Mar 6, 2018
      • Employees · 5 to 4
        Nov 1, 2017 to Mar 6, 2018
      • Insurance-licensed employees · 0 to 4
        Nov 1, 2017 to Mar 6, 2018
      • State-registered IARs · 0 to 4
        Nov 1, 2017 to Mar 6, 2018
      • Discretionary RAUM · $16.3M to $19.3M
        Nov 1, 2017 to Mar 6, 2018
      • RAUM · $16.3M to $19.3M
        Nov 1, 2017 to Mar 6, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Nov 1, 2017
      • Insurance-licensed employees · 5 to 0
        Dec 20, 2016 to Mar 31, 2017
      • Discretionary RAUM · $16.6M to $16.3M
        Dec 20, 2016 to Mar 31, 2017
      • RAUM · $16.6M to $16.3M
        Dec 20, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 3
        Mar 2, 2015 to Mar 23, 2016
      • BD registered reps · 4 to 5
        Mar 2, 2015 to Mar 23, 2016
      • Employees · 6 to 5
        Mar 2, 2015 to Mar 23, 2016
      • Discretionary RAUM · $23.5M to $16.6M
        Mar 2, 2015 to Mar 23, 2016
      • RAUM · $23.5M to $16.6M
        Mar 2, 2015 to Mar 23, 2016
      • BD registered reps · 3 to 4
        Mar 10, 2014 to Mar 2, 2015
      • Insurance-licensed employees · 4 to 5
        Mar 10, 2014 to Mar 2, 2015
      • Financial planning clients · unset to 0
        Mar 10, 2014 to Mar 2, 2015
      • State-registered IARs · 4 to 0
        Mar 10, 2014 to Mar 2, 2015
      • Discretionary RAUM · $18.8M to $23.5M
        Mar 10, 2014 to Mar 2, 2015
      • RAUM · $18.8M to $23.5M
        Mar 10, 2014 to Mar 2, 2015
      • Advisory employees · 2 to 4
        Mar 13, 2013 to Mar 10, 2014
      • BD registered reps · 4 to 3
        Mar 13, 2013 to Mar 10, 2014
      • Employees · 4 to 6
        Mar 13, 2013 to Mar 10, 2014
      • Discretionary RAUM · $15.7M to $18.8M
        Mar 13, 2013 to Mar 10, 2014
      • RAUM · $15.7M to $18.8M
        Mar 13, 2013 to Mar 10, 2014
      • Accounts · 0 to 1
        Mar 22, 2012 to Mar 13, 2013
      • Advisory employees · unset to 2.0
        Mar 22, 2012 to Mar 13, 2013
      • BD registered reps · unset to 4.0
        Mar 22, 2012 to Mar 13, 2013
      • Employees · unset to 4.0
        Mar 22, 2012 to Mar 13, 2013
      • Insurance-licensed employees · 3 to 4
        Mar 22, 2012 to Mar 13, 2013
      • State-registered IARs · unset to 4.0
        Mar 22, 2012 to Mar 13, 2013
      • Discretionary RAUM · $0 to $15.7M
        Mar 22, 2012 to Mar 13, 2013
      • RAUM · $0 to $15.7M
        Mar 22, 2012 to Mar 13, 2013
      Signals
      No event on the tape.
      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