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•••••• C•••••• S••••••••• L••

Former SEC-registered adviserDarien, ConnecticutCRD 163569SEC 801-76530IAPD
Latest filing Apr 26, 2021
First filing on the tape Apr 10, 2012 · 17 filings
RAUM
$6.1M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$6.1M gross assets
History
17 filings and snapshots on the tape
RAUM$6.1M as of Apr 26, 2021
Mar 25, 2013$21.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 26, 2021
Mar 25, 20132 then
Employees (5.A)3 as of Apr 26, 2021
Mar 25, 20133 then
Private funds1 as of Apr 26, 2021
Mar 25, 20131 then
RAUM +12% over the last fiscal year+5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 26, 2021; 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
$6.1MderivedRAUM 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
+12%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
Custody
$6.1M, 1 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$6.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$6.1M for 1 clientsreported
Compensation
% of AUM, 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• P•••••••• L•••Hedge Fund$5.2M7Apr 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• M••••••• C•••• · Managing Membercontrol
        since 06/2016 · owns less than 5%
      • S••••••• E••••• M•••• · Chief Compliance Officercontrol
        since 03/2020 · owns less than 5%
      • A••••••• A•••••• C•••• · Shareholdercontrol
        since 01/1997 · owns 25% to 50% of P•••••• M••••••••• A•• C••••••••• G••••• I•••
      • A••••••• S••••••• C••••••• · Shareholdercontrol
        since 01/1997 · owns 25% to 50% of P•••••• M••••••••• A•• C••••••••• G••••• I•••
      Entity owners
      • P•••••• C•••••• A•••••••• I••• · Managing Member
        direct · owns 75% or more
      • P•••••• M••••••••• A•• C••••••••• G••••• I••• · Holding Company
        indirect · owns 75% or more of P•••••• C•••••• A•••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list P•••••• C•••••• S••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $5.5M to $6.1M
        Mar 31, 2020 to Apr 26, 2021
      • HQ city · NEW YORK to DARIEN
        Mar 31, 2020 to Apr 26, 2021
      • HQ state · NY to CT
        Mar 31, 2020 to Apr 26, 2021
      • Discretionary RAUM · $5.5M to $6.1M
        Mar 31, 2020 to Apr 26, 2021
      • Pooled vehicle RAUM · $5.5M to $6.1M
        Mar 31, 2020 to Apr 26, 2021
      • RAUM · $5.5M to $6.1M
        Mar 31, 2020 to Apr 26, 2021
      • Assets in custody · $4.4M to $5.5M
        Mar 28, 2019 to Mar 31, 2020
      • Discretionary RAUM · $4.4M to $5.5M
        Mar 28, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $4.4M to $5.5M
        Mar 28, 2019 to Mar 31, 2020
      • RAUM · $4.4M to $5.5M
        Mar 28, 2019 to Mar 31, 2020
      • Advisory employees · 0 to 2
        Sep 14, 2018 to Mar 28, 2019
      • BD registered reps · 0 to 1
        Sep 14, 2018 to Mar 28, 2019
      • Assets in custody · $5.2M to $4.4M
        Sep 14, 2018 to Mar 28, 2019
      • Insurance-licensed employees · 0 to 2
        Sep 14, 2018 to Mar 28, 2019
      • Discretionary RAUM · $5.2M to $4.4M
        Sep 14, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $5.2M to $4.4M
        Sep 14, 2018 to Mar 28, 2019
      • RAUM · $5.2M to $4.4M
        Sep 14, 2018 to Mar 28, 2019
      • Advisory employees · 2 to 0
        Nov 20, 2017 to Mar 29, 2018
      • Assets in custody · $5.0M to $5.2M
        Nov 20, 2017 to Mar 29, 2018
      • Other offices · 1 to 0
        Nov 20, 2017 to Mar 29, 2018
      • Discretionary RAUM · $5.0M to $5.2M
        Nov 20, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $5.0M to $5.2M
        Nov 20, 2017 to Mar 29, 2018
      • RAUM · $5.0M to $5.2M
        Nov 20, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Nov 20, 2017
      • Assets in custody · $5.0M to $5.0M
        Mar 30, 2017 to Nov 20, 2017
      • Other offices · unset to 1.0
        Mar 30, 2017 to Nov 20, 2017
      • Discretionary RAUM · $5.0M to $5.0M
        Mar 30, 2017 to Nov 20, 2017
      • Pooled vehicle RAUM · unset to 4964666.0
        Mar 30, 2017 to Nov 20, 2017
      • RAUM · $5.0M to $5.0M
        Mar 30, 2017 to Nov 20, 2017
      • Assets in custody · $8.9M to $5.0M
        Jul 13, 2016 to Mar 30, 2017
      • Discretionary RAUM · $8.9M to $5.0M
        Jul 13, 2016 to Mar 30, 2017
      • RAUM · $8.9M to $5.0M
        Jul 13, 2016 to Mar 30, 2017
      • Business name · A••••••• A•••••••• L•• to P•••••• C•••••• S••••••••• L••
        Jul 12, 2016 to Jul 13, 2016
      • Legal name · A••••••• A•••••••• L•• to P•••••• C•••••• S••••••••• L••
        Jul 12, 2016 to Jul 13, 2016
      • BD registered reps · 1 to 0
        Mar 19, 2015 to Mar 25, 2016
      • Assets in custody · $16.2M to $8.9M
        Mar 19, 2015 to Mar 25, 2016
      • Discretionary RAUM · $16.2M to $8.9M
        Mar 19, 2015 to Mar 25, 2016
      • RAUM · $16.2M to $8.9M
        Mar 19, 2015 to Mar 25, 2016
      • BD registered reps · 2 to 1
        Mar 31, 2014 to Mar 19, 2015
      • Assets in custody · $22.0M to $16.2M
        Mar 31, 2014 to Mar 19, 2015
      Signals
      3 dated events
      • Stephen Robert Anderson (Member) no longer on Schedule A of P•••••• C•••••• S••••••••• L•• (listed 2019-03-28, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • Margaret Ann Torregrossa (Chief Compliance Officer) no longer on Schedule A of P•••••• C•••••• S••••••••• L•• (listed 2019-03-28, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • Marie Ellen Scambia (Chief Compliance Officer) appeared on Schedule A of P•••••• C•••••• S••••••••• L••
        Mar 31, 2020 · 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.
      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