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••••••••• E••••• M••••••••• L••

Former SEC-registered adviserWellesley, MassachusettsCRD 162662SEC 801-107583IAPD
Latest filing Dec 17, 2018
First filing on the tape Mar 29, 2016 · 6 filings
RAUM
$156M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$156M gross assets
History
6 filings and snapshots on the tape
RAUM$156M as of Mar 30, 2018
Mar 30, 2017$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20170 then
Employees (5.A)9 as of Mar 30, 2018
Mar 30, 201710 then
Private funds6 as of Mar 30, 2018
Mar 30, 20176 then
RAUM -3.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 17, 2018; 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
$26.0MderivedRAUM 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
-3.1%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$156M, 6 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$156M100%
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
$156M for 6 clientsreported
Compensation
% of AUM, fixed, 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• C••••••• F••• I• L•••••• P•••••••••Venture Capital Fund$19.5M33Mar 29, 2012
      H••••••• C••••••• F••• I•• L•••••• P•••••••••Venture Capital Fund$4.3M9Mar 29, 2012
      H•• S•••• L••Venture Capital Fund$4.0M20Mar 29, 2016
      H•• P••••••••• L••Venture Capital Fund$1.8M39Mar 10, 2016
      H••••••• C••••••• E••••••••• F••• I• L•••••• P•••••••••Venture Capital Fund$696,00314Mar 29, 2012
      H•• R•••• L••Venture Capital Fund$54,94241Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• P••••• F•••••• · Service Member P••••••••• E••••• M••••••••• L••; Chief Compliance Officercontrol
        since 04/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      • H••••••• C••••••• G• G• L••
        pooled vehicle sponsorn
      • H••••••• C••••••• G• L•••••• P•••••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 6
        Mar 30, 2018 to Dec 17, 2018
      • Employees · 9 to 6
        Mar 30, 2018 to Dec 17, 2018
      • Advisory employees · 10 to 9
        Jun 21, 2017 to Mar 30, 2018
      • Business name · H••••••• C••••••• P••••••• to P••••••••• E••••• M••••••••• L••
        Jun 21, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 6.0
        Jun 21, 2017 to Mar 30, 2018
      • Assets in custody · $161M to $156M
        Jun 21, 2017 to Mar 30, 2018
      • Employees · 10 to 9
        Jun 21, 2017 to Mar 30, 2018
      • Legal name · H••••••• C••••••• P••••••• MANAGEMENT COMPANY LLC to P••••••••• E••••• M••••••••• L••
        Jun 21, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jun 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $161M to $156M
        Jun 21, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 155825889.0
        Jun 21, 2017 to Mar 30, 2018
      • RAUM · $161M to $156M
        Jun 21, 2017 to Mar 30, 2018
      • Accounts · 5 to 6
        Mar 31, 2016 to Mar 30, 2017
      • Advisory employees · 12 to 10
        Mar 31, 2016 to Mar 30, 2017
      • Assets in custody · $164M to $161M
        Mar 31, 2016 to Mar 30, 2017
      • Employees · 12 to 10
        Mar 31, 2016 to Mar 30, 2017
      • Private funds · 5 to 6
        Mar 31, 2016 to Mar 30, 2017
      • Discretionary RAUM · $164M to $161M
        Mar 31, 2016 to Mar 30, 2017
      • RAUM · $164M to $161M
        Mar 31, 2016 to Mar 30, 2017
      • Private funds · 10 to 5
        Mar 29, 2016 to Mar 31, 2016
      Signals
      1 dated events
      • H••••••• C••••••• P••••••• filed its initial SEC registration (Form ADV)
        Mar 29, 2016 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      P•••••••••EQUITY.COMreportedpublic record, Form ADV, Sep 19, 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
      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