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•••••• M••••••••• L••••••

Former SEC-registered adviserHamilton, CRD 163930SEC 801-80008IAPD
Latest filing Jun 1, 2023
First filing on the tape Jun 24, 2014 · 22 filings
RAUM
$3.2B
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
22
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$2.8B gross assets
History
22 filings and snapshots on the tape
RAUM$3.2B as of Mar 31, 2023
Mar 23, 2015$342M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 23, 20150 then
Employees (5.A)22 as of Mar 31, 2023
Mar 23, 201510 then
Private funds4 as of Mar 31, 2023
Mar 23, 20152 then
RAUM +33% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 2023; 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
$528MderivedRAUM 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
+33%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
$3.2B, 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$3.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.2B for 6 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•••••••• I•••••••• O••••••••• F••• L••••••Hedge Fund$3.3B143Mar 26, 2019
      O•••••••• F••• L••••••no longer reportedHedge Fund$750M98Apr 5, 2012
      P••••• S•••••••• F••• P••••••• L•••••• I•• P••••• E••• F•••Hedge Fund$493M2Jul 27, 2020
      P••••• S•••••••• F••• P••••••• L•••••• I•• P••••• T• F•••Hedge Fund$460M1Nov 26, 2019
      P••••• V•••• M••••• F••• L••••••no longer reportedHedge Fund$70.4M11Mar 25, 2014
      P••••• V•••• F••• L••••••Hedge Fund$29.8M2Mar 26, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • H••• T•••••• J•••••• A•• · Directorcontrol
        since 02/2014 · owns less than 5%
      • R••••••• T•••• L•••••• · Coo And Cfocontrol
        since 05/2008 · owns less than 5%
      • V••••••• S••••••• A•••••• · Ceo And Ciocontrol
        since 06/2013 · owns less than 5%
      • W••••••••• L••••• W•••• · Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      • V••••••• S••••••• A•••••• · Shareholdercontrol
        since 05/2015 · owns 25% to 50% of P••••• C•••••• H••••••• L••••••
      Entity owners
      • P••••• C•••••• H••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • A•••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of T••••••••• H•••••••• I••
      • B•••••••• H•••••••• I••• · Shareholder
        indirect · owns 75% or more of A•••••••• C••••••••• · public reporting company
      • T••••••••• H•••••••• I•• · Shareholder
        indirect · owns 50% to 75% of P••••• C•••••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      • J• R• L•••• A• B•••••• S••••••••• A••••••• I•••••••• C••••••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.8B to $3.2B
        Nov 1, 2022 to Mar 31, 2023
      • Employees · 19 to 22
        Nov 1, 2022 to Mar 31, 2023
      • Discretionary RAUM · $3.1B to $3.2B
        Nov 1, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $3.1B to $3.2B
        Nov 1, 2022 to Mar 31, 2023
      • RAUM · $3.1B to $3.2B
        Nov 1, 2022 to Mar 31, 2023
      • Related adviser · false to true
        Nov 1, 2022 to Mar 31, 2023
      • Accounts · 4 to 6
        Mar 16, 2022 to Mar 31, 2022
      • Pooled vehicle clients · 4 to 6
        Mar 16, 2022 to Mar 31, 2022
      • Discretionary RAUM · $2.4B to $3.1B
        Mar 16, 2022 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.4B to $3.1B
        Mar 16, 2022 to Mar 31, 2022
      • RAUM · $2.4B to $3.1B
        Mar 16, 2022 to Mar 31, 2022
      • Advisory employees · 7 to 9
        Mar 26, 2021 to Mar 16, 2022
      • Assets in custody · $2.3B to $2.8B
        Mar 26, 2021 to Mar 16, 2022
      • Discretionary RAUM · $1.9B to $2.4B
        Mar 26, 2021 to Mar 16, 2022
      • Pooled vehicle RAUM · $1.9B to $2.4B
        Mar 26, 2021 to Mar 16, 2022
      • RAUM · $1.9B to $2.4B
        Mar 26, 2021 to Mar 16, 2022
      • Accounts · 3 to 4
        Jul 27, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 3 to 4
        Jul 27, 2020 to Mar 26, 2021
      • Assets in custody · $1.6B to $2.3B
        Jul 27, 2020 to Mar 26, 2021
      • Employees · 14 to 19
        Jul 27, 2020 to Mar 26, 2021
      • Discretionary RAUM · $1.6B to $1.9B
        Jul 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $1.6B to $1.9B
        Jul 27, 2020 to Mar 26, 2021
      • RAUM · $1.6B to $1.9B
        Jul 27, 2020 to Mar 26, 2021
      • Private funds · 3 to 4
        Mar 27, 2020 to Jul 27, 2020
      • Accounts · 2 to 3
        Nov 26, 2019 to Mar 27, 2020
      • Pooled vehicle clients · 2 to 3
        Nov 26, 2019 to Mar 27, 2020
      • Assets in custody · $375M to $1.6B
        Nov 26, 2019 to Mar 27, 2020
      • Discretionary RAUM · $832M to $1.6B
        Nov 26, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $832M to $1.6B
        Nov 26, 2019 to Mar 27, 2020
      • RAUM · $832M to $1.6B
        Nov 26, 2019 to Mar 27, 2020
      • Advisory employees · 6 to 7
        Mar 26, 2019 to Nov 26, 2019
      • Employees · 13 to 14
        Mar 26, 2019 to Nov 26, 2019
      • Private funds · 2 to 3
        Mar 26, 2019 to Nov 26, 2019
      • Advisory employees · 5 to 6
        Mar 27, 2018 to Mar 26, 2019
      • Employees · 11 to 13
        Mar 27, 2018 to Mar 26, 2019
      • Discretionary RAUM · $643M to $832M
        Mar 27, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $643M to $832M
        Mar 27, 2018 to Mar 26, 2019
      • RAUM · $643M to $832M
        Mar 27, 2018 to Mar 26, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 23, 2017 to Mar 27, 2018
      • Assets in custody · $145M to $375M
        Mar 23, 2017 to Mar 27, 2018
      Signals
      5 dated events
      • P••••• C•••••• M••••••••• L•••••• reported RAUM $3.1B, up 30% from $2.4B (2022-03-16 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • P••••• C•••••• M••••••••• L•••••• reported RAUM $1.9B, up 26% from $1.6B (2020-07-27 to 2021-03-26)
        Mar 26, 2021 · RAUM change · derived
      • P••••• C•••••• M••••••••• L•••••• reported RAUM $1.6B, up 86% from $831.9M (2019-11-26 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • P••••• C•••••• M••••••••• L•••••• reported RAUM $831.9M, up 29% from $642.9M (2018-03-27 to 2019-03-26)
        Mar 26, 2019 · RAUM change · derived
      • P••••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Jun 24, 2014 · 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•••••-CAPITAL.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