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•••••• C•••••••••
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 16 filings
SEC status approved since Apr 24, 2012
RAUM
$380M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$380M as of Mar 26, 2026
Mar 27, 2013$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20130 then
Employees (5.A)9 as of Mar 26, 2026
Mar 27, 20136 then
Private funds1 as of Mar 26, 2026
Apr 21, 20251 then
RAUM +4.2% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $127MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 90%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
- +4.2%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $39.2M, 1 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
- is a broker-dealer (6.A.1)
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Insurance companies$341M90%
- Pooled investment vehicles$39.2M10%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.2M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.1 institutional_share=0.9 related_bd=true related_bank=false bd_reps=5.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• J••••• A••••• · Presidentcontrolsince 04/2009 · owns 25% to 50%
- I•••••• J••••• E••• · Vice President, Secretary & Treasurercontrolsince 01/1998 · owns 25% to 50%
- O•••••• M••••••• C••••••• · Vice President & Ccocontrolsince 10/1998 · owns 5% to 10%
- S•••••• D••••• A•••••• · Vice Presidentcontrolsince 04/2018 · owns 5% to 10%
- H••••••• F••••••• J••••• · Vice Presidentsince 08/1998 · owns 10% to 25%
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
- Assets in custody · $37.4M to $39.2MJun 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $365M to $380MJun 4, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $37.4M to $39.2MJun 4, 2025 to Mar 26, 2026
- RAUM · $365M to $380MJun 4, 2025 to Mar 26, 2026
- Custody of client assets · false to trueApr 21, 2025 to Jun 4, 2025
- Financial planning clients · unset to Apr 21, 2025 to Jun 4, 2025
- Accounts · 13 to 3Jan 30, 2024 to Apr 21, 2025
- Assets in custody · unset to 37364988.0Jan 30, 2024 to Apr 21, 2025
- Employees · 10 to 9Jan 30, 2024 to Apr 21, 2025
- Private funds · unset to 1Jan 30, 2024 to Apr 21, 2025
- Discretionary RAUM · $64.1M to $365MJan 30, 2024 to Apr 21, 2025
- Non-discretionary RAUM · $252M to $0Jan 30, 2024 to Apr 21, 2025
- Pooled vehicle RAUM · $64.1M to $37.4MJan 30, 2024 to Apr 21, 2025
- RAUM · $316M to $365MJan 30, 2024 to Apr 21, 2025
- Accounts · 11 to 13Feb 17, 2023 to Jan 30, 2024
- Discretionary RAUM · $55.4M to $64.1MFeb 17, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $223M to $252MFeb 17, 2023 to Jan 30, 2024
- Pooled vehicle RAUM · $55.4M to $64.1MFeb 17, 2023 to Jan 30, 2024
- RAUM · $279M to $316MFeb 17, 2023 to Jan 30, 2024
- Accounts · 12 to 11Jun 30, 2022 to Feb 17, 2023
- BD registered reps · 4 to 5Jun 30, 2022 to Feb 17, 2023
- Employees · 8 to 10Jun 30, 2022 to Feb 17, 2023
- Discretionary RAUM · $52.8M to $55.4MJun 30, 2022 to Feb 17, 2023
- Non-discretionary RAUM · $222M to $223MJun 30, 2022 to Feb 17, 2023
- Pooled vehicle RAUM · $52.8M to $55.4MJun 30, 2022 to Feb 17, 2023
- RAUM · $274M to $279MJun 30, 2022 to Feb 17, 2023
- Advisory employees · 5 to 6Jan 25, 2021 to Jun 30, 2022
- BD registered reps · 3 to 4Jan 25, 2021 to Jun 30, 2022
- Employees · 6 to 8Jan 25, 2021 to Jun 30, 2022
- Discretionary RAUM · $42.0M to $52.8MJan 25, 2021 to Jun 30, 2022
- Non-discretionary RAUM · $182M to $222MJan 25, 2021 to Jun 30, 2022
- Pooled vehicle RAUM · $42.0M to $52.8MJan 25, 2021 to Jun 30, 2022
- RAUM · $224M to $274MJan 25, 2021 to Jun 30, 2022
- Discretionary RAUM · $43.0M to $42.0MMar 30, 2020 to Jan 25, 2021
- Non-discretionary RAUM · $159M to $182MMar 30, 2020 to Jan 25, 2021
- Pooled vehicle RAUM · $43.0M to $42.0MMar 30, 2020 to Jan 25, 2021
- RAUM · $202M to $224MMar 30, 2020 to Jan 25, 2021
- Discretionary RAUM · $35.0M to $43.0MSep 12, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $119M to $159MSep 12, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $35.0M to $43.0MSep 12, 2019 to Mar 30, 2020
Signals
1 dated events
- Anthony David Salmon (Vice President) appeared on Schedule A of P••••••••• C•••••• C•••••••••Apr 8, 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•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-348-7365reportedpublic 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
- Institutional managerderiveda 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