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•••••• H••••• H•••••••• L••••••
Latest filing Mar 12, 2026
First filing on the tape Oct 18, 2012 · 16 filings
SEC status approved since Nov 14, 2012
RAUM
$23.2M
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
16
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$23.2M as of Mar 12, 2026
Mar 28, 2013$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 28, 20130 then
Employees (5.A)16 as of Mar 12, 2026
Mar 28, 201325 then
Private funds1 as of Mar 31, 2014
Mar 28, 20131 then
RAUM -33% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $23.2MderivedRAUM 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- 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=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•••••• H••••• D••••••• F••• I• L•no longer reported | Hedge Fund | $30.7M | 3 | Oct 18, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• W•••••• D••••• · Ceo And Indirect Ownercontrolsince 08/2006 · owns 75% or more
- L••• Y•••• Y•••••• · Managing Directorcontrolsince 04/2022 · owns less than 5%
- A••••••••• W•••••• D••••• · Indirect Ownercontrolsince 03/2007 · owns 75% or more of P•••••• H••••• A••••••••• L••••••
- M••• H• W••• · Deputy Chief Financial Officersince 01/2013 · owns less than 5%
- Y•• K••• M••• A••••• · Chief Compliance Officersince 08/2013 · owns less than 5%
Entity owners
- P•••••• H••••• G•••• H••••••• P•• L•••••• · Ownerdirect · owns 75% or more
- P•••••• H••••• A••••••••• L•••••• · Indirect Ownerindirect · owns 75% or more of P•••••• H••••• G•••• H••••••• P•• L••••••
Related persons
Schedule D 7.A
- P•••••• H••••• A••••••• ••••••• G•••investment advisery
- P•••••• H••••• A••••••• ••• P••• L•••investment advisery
- P•••••• H••••• A••••••• C••• L•••investment advisery
- P•••••• H••••• C•••••• I• L••investment advisery
- P•••••• H••••• C••••••• L•••investment advisery
- P•••••• H••••• I••••••••• S•••••••• P••• L•••investment advisery
- P•••••• H••••• I••••••••• H••••••• P••••••••• I••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $34.5M to $23.2MMar 26, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $34.5M to $23.2MMar 26, 2025 to Mar 12, 2026
- RAUM · $34.5M to $23.2MMar 26, 2025 to Mar 12, 2026
- Financial planning clients · unset to Mar 25, 2024 to Mar 26, 2025
- HQ state · unset to Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $44.9M to $34.5MMar 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $44.9M to $34.5MMar 25, 2024 to Mar 26, 2025
- RAUM · $44.9M to $34.5MMar 25, 2024 to Mar 26, 2025
- Advisory employees · 14 to 16Jun 20, 2023 to Mar 25, 2024
- Employees · 14 to 16Jun 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $48.7M to $44.9MJun 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $48.7M to $44.9MJun 20, 2023 to Mar 25, 2024
- RAUM · $48.7M to $44.9MJun 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $47.8M to $48.7MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $47.8M to $48.7MMar 30, 2022 to Mar 30, 2023
- RAUM · $47.8M to $48.7MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $53.6M to $47.8MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $53.6M to $47.8MMar 31, 2021 to Mar 30, 2022
- RAUM · $53.6M to $47.8MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $56.4M to $53.6MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $56.4M to $53.6MMar 31, 2020 to Mar 31, 2021
- RAUM · $56.4M to $53.6MMar 31, 2020 to Mar 31, 2021
- Other offices · 2 to 0Mar 28, 2019 to Mar 31, 2020
- Discretionary RAUM · $72.6M to $56.4MMar 28, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $72.6M to $56.4MMar 28, 2019 to Mar 31, 2020
- RAUM · $72.6M to $56.4MMar 28, 2019 to Mar 31, 2020
- Discretionary RAUM · $75.9M to $72.6MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $75.9M to $72.6MMar 29, 2018 to Mar 28, 2019
- RAUM · $75.9M to $72.6MMar 29, 2018 to Mar 28, 2019
- Accounts · 3 to 1Mar 31, 2017 to Mar 29, 2018
- Advisory activities · 2 to 1Mar 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $70.0M to $75.9MMar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 75900000.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $70.0M to $75.9MMar 31, 2017 to Mar 29, 2018
- Advisory employees · 15 to 14Mar 31, 2016 to Mar 31, 2017
- Employees · 15 to 14Mar 31, 2016 to Mar 31, 2017
- Discretionary RAUM · $90.0M to $70.0MMar 31, 2016 to Mar 31, 2017
- RAUM · $90.0M to $70.0MMar 31, 2016 to Mar 31, 2017
Signals
3 dated events
- Vernon David Barlett (Managing Director) no longer on Schedule A of P•••••• H••••• H•••••••• L•••••• (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Yee-Lee Yuri Lin (Managing Director) appeared on Schedule A of P•••••• H••••• H•••••••• L••••••Mar 30, 2023 · Control person joined · fact
- P•••••• H••••• H•••••••• L•••••• filed its initial SEC registration (Form ADV)Oct 18, 2012 · 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••••••H•••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 852 2167 0500reportedpublic record, Form ADV, Mar 12, 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