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•••••• E••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Apr 24, 2012
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Apr 2, 2013$330M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 2, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Apr 2, 201313 then
Private funds1 as of Mar 31, 2026
Apr 2, 20131 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $4.3M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.3M for 1 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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•••••• E••••• L• | Private Equity Fund | $61.1M | 32 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• R••• · Managing Partner And Membercontrolsince 12/2008 · owns 50% to 75%
- S•••••••• G•••••• H•••• · Membercontrolsince 12/2008 · owns 25% to 50%
- A••••••• S••••• E•••••••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• E••••• G• L•pooled vehicle sponsorn
- P•••••• E••••• H••••••• L••pooled vehicle sponsorn
- P•••••• E••••• M••••••••• I• L••investment advisernRAUM $171M
- P•••••• E••••• P••••••• H••••••• L••pooled vehicle sponsorn
- P•••••• E••••• P••••••• L•pooled vehicle sponsorn
Advisers that list P•••••• E••••• M••••••••• L•• as a related person
- 170614 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $57,000,000 to $0 (-100.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was -29.0% (41 comparable advisers, 0.0th percentile of changes)peers: other advisers, under $100M (41) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1 to 0Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 4 to 7Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $69.5M to $4.3MMar 28, 2025 to Mar 31, 2026
- Employees · 6 to 8Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $57.0M to $0Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $57.0M to $0Mar 28, 2025 to Mar 31, 2026
- RAUM · $57.0M to $0Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Mar 30, 2024 to Mar 28, 2025
- Assets in custody · $77.4M to $69.5MMar 30, 2024 to Mar 28, 2025
- Employees · 8 to 6Mar 30, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $61.1M to $57.0MMar 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $61.1M to $57.0MMar 30, 2024 to Mar 28, 2025
- RAUM · $61.1M to $57.0MMar 30, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Mar 31, 2023 to Mar 30, 2024
- Assets in custody · $94.7M to $77.4MMar 31, 2023 to Mar 30, 2024
- Employees · 6 to 8Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $94.7M to $61.1MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $94.7M to $61.1MMar 31, 2023 to Mar 30, 2024
- RAUM · $94.7M to $61.1MMar 31, 2023 to Mar 30, 2024
- Assets in custody · $130M to $94.7MMar 31, 2022 to Mar 31, 2023
- Employees · 8 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $130M to $94.7MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $130M to $94.7MMar 31, 2022 to Mar 31, 2023
- RAUM · $130M to $94.7MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 6 to 4Jul 28, 2021 to Mar 31, 2022
- Assets in custody · $138M to $130MJul 28, 2021 to Mar 31, 2022
- Employees · 14 to 8Jul 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $129M to $130MJul 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $129M to $130MJul 28, 2021 to Mar 31, 2022
- RAUM · $129M to $130MJul 28, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $206M to $138MMar 30, 2020 to Mar 31, 2021
- Employees · 13 to 14Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $195M to $129MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $195M to $129MMar 30, 2020 to Mar 31, 2021
- RAUM · $195M to $129MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $338M to $206MMar 27, 2019 to Mar 30, 2020
- Employees · 14 to 13Mar 27, 2019 to Mar 30, 2020
- Discretionary RAUM · $338M to $195MMar 27, 2019 to Mar 30, 2020
Signals
1 dated events
- P•••••• E••••• M••••••••• L•• reported RAUM $195.0M, down 42% from $337.6M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- P•••••• E••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• E••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 817-898-1500reportedpublic record, Form ADV, Mar 31, 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
- No RAUM reportedderiveda 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