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••••••• R••••• P•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Dec 20, 2012 · 31 filings
SEC status approved since Jan 2, 2013
RAUM
$457M
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
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$457M as of May 11, 2026
Mar 14, 2013$111M then
HNW client RAUM$0 as of May 11, 2026
Mar 14, 2018$0 then
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 14, 20130 then
Employees (5.A)9 as of May 11, 2026
Mar 14, 20137 then
Private funds16 as of May 11, 2026
Mar 14, 20132 then
RAUM -22% over the last fiscal year+6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 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
- $28.6MderivedRAUM 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
- -22%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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$457M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 16reported
- Financial planning clients
- n/areported
- 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
18 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• L•••••••• L• | Private Equity Fund | $123M | 5 | Mar 31, 2021 |
| P••• M••• L• | Private Equity Fund | $95.4M | 7 | Mar 25, 2024 |
| P••••••• A•••• S• L• | Private Equity Fund | $76.4M | 7 | Mar 19, 2019 |
| P••••••• P••••••• B• L• | Private Equity Fund | $47.3M | 9 | Mar 19, 2019 |
| P••••••• D•• L• | Private Equity Fund | $43.3M | 7 | Mar 31, 2021 |
| P••••••• P••••••• A••••• L• | Private Equity Fund | $32.6M | 8 | Mar 19, 2019 |
| P••••••• S• I•• L• | Private Equity Fund | $30.5M | 8 | Mar 25, 2024 |
| P••• S••• L• | Private Equity Fund | $25.2M | 2 | Mar 27, 2023 |
| P••••••• P••••••• A• L• | Private Equity Fund | $20.5M | 9 | Mar 19, 2019 |
| T••••••• H••••••• I• L• | Private Equity Fund | $18.9M | 3 | Mar 29, 2022 |
| T••••••• H••••••• I•• L• | Private Equity Fund | $18.9M | 2 | Mar 29, 2022 |
| P••••••• D• P•• L• | Private Equity Fund | $14.3M | 11 | Mar 31, 2021 |
| P••••••• C•••••• P••••••• L• | Private Equity Fund | $13.0M | 5 | Dec 20, 2012 |
| P••••••• P•••••••• L•no longer reported | Private Equity Fund | $10.6M | 3 | Dec 20, 2012 |
| P••• M•• P•• L• | Private Equity Fund | $8.7M | 12 | Mar 25, 2024 |
| P••••••• P••••••• C• L•no longer reported | Private Equity Fund | $6.3M | 8 | Mar 19, 2019 |
| P••••••• A•••• P• I•• L• | Private Equity Fund | $1.3M | 2 | Mar 27, 2023 |
| P••••••• A•••• P•• L• | Private Equity Fund | $275,517 | 3 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• M•••• J••••••• · Chief Executive Officer And Directorcontrolsince 03/2012 · owns 75% or more
- U•••••••• J••••• E•••• · Chief Financial Officer/Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••• I••••••••• L••pooled vehicle sponsorn
- P••••••• P••••••• A•••• G•• L••pooled vehicle sponsorn
- P••••••• P••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · P••••••• C••••••• R••••• P•••••••• L•• to P••••••• C••••••• P•••••••• L••May 11, 2026 to Sep 2, 2026
- Financial planning clients · to unsetMay 11, 2026 to Sep 2, 2026
- Legal name · P••••••• C••••••• R••••• P•••••••• L•• to P••••••• C••••••• P•••••••• L••May 11, 2026 to Sep 2, 2026
- Private funds · 16 to unsetMay 11, 2026 to Sep 2, 2026
- Succession · false to unsetMay 11, 2026 to Sep 2, 2026
- Advisory employees · 9 to 8May 6, 2025 to Mar 30, 2026
- Employees · 10 to 9May 6, 2025 to Mar 30, 2026
- Discretionary RAUM · $593M to $457MMay 6, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $593M to $457MMay 6, 2025 to Mar 30, 2026
- RAUM · $593M to $457MMay 6, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 26, 2025 to May 6, 2025
- Discretionary RAUM · $585M to $593MMar 26, 2025 to May 6, 2025
- Pooled vehicle RAUM · $585M to $593MMar 26, 2025 to May 6, 2025
- RAUM · $585M to $593MMar 26, 2025 to May 6, 2025
- Advisory employees · 8 to 9Nov 21, 2024 to Mar 26, 2025
- Employees · 9 to 10Nov 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $546M to $585MNov 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $546M to $585MNov 21, 2024 to Mar 26, 2025
- RAUM · $546M to $585MNov 21, 2024 to Mar 26, 2025
- Accounts · 13 to 16May 3, 2023 to Mar 25, 2024
- Advisory employees · 7 to 8May 3, 2023 to Mar 25, 2024
- Pooled vehicle clients · 13 to 16May 3, 2023 to Mar 25, 2024
- Employees · 8 to 9May 3, 2023 to Mar 25, 2024
- Private funds · 13 to 16May 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $379M to $546MMay 3, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $379M to $546MMay 3, 2023 to Mar 25, 2024
- RAUM · $379M to $546MMay 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $379M to $379MMar 27, 2023 to May 3, 2023
- Pooled vehicle RAUM · $379M to $379MMar 27, 2023 to May 3, 2023
- RAUM · $379M to $379MMar 27, 2023 to May 3, 2023
- Accounts · 11 to 13May 3, 2022 to Mar 27, 2023
- Pooled vehicle clients · 11 to 13May 3, 2022 to Mar 27, 2023
- Private funds · 11 to 13May 3, 2022 to Mar 27, 2023
- Discretionary RAUM · $301M to $379MMay 3, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $301M to $379MMay 3, 2022 to Mar 27, 2023
- RAUM · $301M to $379MMay 3, 2022 to Mar 27, 2023
- Discretionary RAUM · $302M to $301MMar 29, 2022 to May 3, 2022
- Pooled vehicle RAUM · $302M to $301MMar 29, 2022 to May 3, 2022
- RAUM · $302M to $301MMar 29, 2022 to May 3, 2022
- Accounts · 9 to 11Mar 1, 2022 to Mar 29, 2022
Signals
7 dated events
- P••••••• C••••••• R••••• P•••••••• L•• reported RAUM $546.2M, up 44% from $379.4M (2023-05-03 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- P••••••• C••••••• R••••• P•••••••• L•• reported RAUM $302.4M, up 65% from $183.4M (2022-03-01 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Katherine Mary Courtney-O'Sullivan (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of P••••••• C••••••• R••••• P•••••••• L•• (listed 2021-04-27, absent 2022-03-01)Mar 1, 2022 · Control person left · inference
- Ellen Jodie Urquhart (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of P••••••• C••••••• R••••• P•••••••• L••Mar 1, 2022 · Control person joined · fact
- Katherine Mary Courtney-O'Sullivan (Chief Financial Officer/Chief Compliance Officer) appeared on Schedule A of P••••••• C••••••• R••••• P•••••••• L••Apr 9, 2019 · Control person joined · fact
- Edward John Lawrence (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of P••••••• C••••••• R••••• P•••••••• L•• (listed 2019-03-19, absent 2019-04-09)Apr 9, 2019 · Control person left · inference
- P••••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C••••••• R••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• C••••••• R••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/P•••••••-CAPITAL-GROUP-INC.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-585-3800reportedpublic record, Form ADV, Sep 2, 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