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•••••••••
Legal name P•••• C••• M••••••••• L•
Latest filing Mar 26, 2026
First filing on the tape Mar 31, 2014 · 19 filings
SEC status approved since Apr 22, 2014
RAUM
$505M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$505M as of Mar 26, 2026
Feb 13, 2015$246M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 12, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Feb 13, 20150 then
Employees (5.A)4 as of Mar 26, 2026
Feb 13, 20153 then
Private funds1 as of Mar 26, 2026
Feb 13, 20151 then
RAUM -4.8% over the last fiscal year-1.7% 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
- $505MderivedRAUM 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
- -4.8%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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$505M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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=true bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• C••• C••••••• L• | Hedge Fund | $588M | 38 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• F••••••• P•••••• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- L••• N••••••• H••••••• · Limited Partnercontrolsince 04/2004 · owns 75% or more
- G••••••••• R•••••• L••••••• · Membercontrolsince 10/2003 · owns 25% to 50% of G••••• Advisers, LLC
- G••••••••• J•••• M•••••• · Managing Membercontrolsince 10/2003 · owns 25% to 50% of G••••• Advisers, LLC
- L••• N••••••• H••••••• · Managing Membercontrolsince 04/2004 · owns 75% or more of P•••• C••• G• L••
Entity owners
- P•••• C••• G• L•• · General Partnerdirect · owns less than 5%
- G••••• A••••••• L•• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- P•••• C••• C•••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $531M to $505MMar 31, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $531M to $505MMar 31, 2025 to Mar 26, 2026
- RAUM · $531M to $505MMar 31, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $588M to $531MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $588M to $531MMar 29, 2024 to Mar 31, 2025
- RAUM · $588M to $531MMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $532M to $588MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $532M to $588MMar 30, 2023 to Mar 29, 2024
- RAUM · $532M to $588MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $711M to $532MDec 13, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $711M to $532MDec 13, 2022 to Mar 30, 2023
- RAUM · $711M to $532MDec 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $582M to $711MMar 29, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $582M to $711MMar 29, 2021 to Mar 25, 2022
- RAUM · $582M to $711MMar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $465M to $582MMar 28, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $465M to $582MMar 28, 2020 to Mar 29, 2021
- RAUM · $465M to $582MMar 28, 2020 to Mar 29, 2021
- Advisory employees · 5 to 4Mar 20, 2019 to Mar 28, 2020
- Employees · 5 to 4Mar 20, 2019 to Mar 28, 2020
- Discretionary RAUM · $360M to $465MMar 20, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $360M to $465MMar 20, 2019 to Mar 28, 2020
- RAUM · $360M to $465MMar 20, 2019 to Mar 28, 2020
- Advisory employees · 4 to 5Mar 12, 2018 to Mar 20, 2019
- Employees · 4 to 5Mar 12, 2018 to Mar 20, 2019
- Discretionary RAUM · $377M to $360MMar 12, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · $377M to $360MMar 12, 2018 to Mar 20, 2019
- RAUM · $377M to $360MMar 12, 2018 to Mar 20, 2019
- Charity clients · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Corporate clients · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- HNW clients · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Individual clients · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Pension plan clients · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Pooled vehicle clients · unset to 1.0Jul 10, 2017 to Mar 12, 2018
- Other offices · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Discretionary RAUM · $315M to $377MJul 10, 2017 to Mar 12, 2018
- HNW RAUM · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Individual RAUM · unset to 0.0Jul 10, 2017 to Mar 12, 2018
- Pension RAUM · unset to 0.0Jul 10, 2017 to Mar 12, 2018
Signals
4 dated events
- P•••• C••• M••••••••• reported RAUM $531.5M, down 25% from $710.5M (2022-12-13 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- P•••• C••• M••••••••• reported RAUM $581.7M, up 25% from $464.5M (2020-03-28 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- P•••• C••• M••••••••• reported RAUM $464.5M, up 29% from $360.2M (2019-03-20 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- P•••• C••• M••••••••• filed its initial SEC registration (Form ADV)Mar 31, 2014 · First SEC registration · 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••••C•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 407-367-4347reportedpublic 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