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••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 6, 2014 · 20 filings
SEC status approved since Mar 25, 2014
RAUM
$2.3B
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
32
27 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.3B as of Mar 30, 2026
Aug 11, 2014$400M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Aug 11, 20140 then
Employees (5.A)32 as of Mar 30, 2026
Aug 11, 20145 then
Private funds2 as of Mar 30, 2026
Aug 11, 20141 then
RAUM +25% over the last fiscal year+9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $774MderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- Pooled investment vehicles$2.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- fixed, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• P•••••• C••••••• L••••••••• A• | Private Equity Fund | $1.9B | 21 | Jul 21, 2014 |
| P•• A• 1• L••••••••• A• | Private Equity Fund | $105M | 4 | Jun 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••• M•••••• · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- G•••••• P•••• · Ceo, Coo, Managing Membercontrolsince 12/2011 · owns 75% or more
- S•••••••• S••••• J••••• · Chief Financial Officercontrolsince 11/2013 · owns less than 5%
- T•••••• M••••••• T••••••• · Co-Foundercontrolsince 12/2011 · owns less than 5%
Related persons
Schedule D 7.A
- P•• M•• L•••pooled vehicle sponsorn
- T•• T••••• G•••• A••••••• L••investment advisernRAUM $34.0M
Advisers that list P•• E••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Cincinnati, OH1 employees
- Franklin, TN1 employees
- Purchase, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 30, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-11, yes on the filing of 2026-03-30peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Advisory employees · 25 to 27Apr 11, 2025 to Mar 30, 2026
- Custody of client assets · false to trueApr 11, 2025 to Mar 30, 2026
- Employees · 31 to 32Apr 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $2.3BApr 11, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.9B to $2.3BApr 11, 2025 to Mar 30, 2026
- RAUM · $1.9B to $2.3BApr 11, 2025 to Mar 30, 2026
- Related adviser · true to falseApr 11, 2025 to Mar 30, 2026
- Accounts · 2 to 3Mar 30, 2024 to Apr 11, 2025
- Advisory employees · 24 to 25Mar 30, 2024 to Apr 11, 2025
- Pooled vehicle clients · 2 to 3Mar 30, 2024 to Apr 11, 2025
- Employees · 30 to 31Mar 30, 2024 to Apr 11, 2025
- Financial planning clients · unset to Mar 30, 2024 to Apr 11, 2025
- Discretionary RAUM · $2.0B to $1.9BMar 30, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $2.0B to $1.9BMar 30, 2024 to Apr 11, 2025
- RAUM · $2.0B to $1.9BMar 30, 2024 to Apr 11, 2025
- Advisory employees · 23 to 24Mar 30, 2023 to Mar 30, 2024
- Employees · 29 to 30Mar 30, 2023 to Mar 30, 2024
- Other offices · 3 to 5Mar 30, 2023 to Mar 30, 2024
- Discretionary RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 30, 2024
- RAUM · $1.8B to $2.0BMar 30, 2023 to Mar 30, 2024
- Advisory employees · 25 to 23Mar 31, 2022 to Mar 30, 2023
- Employees · 31 to 29Mar 31, 2022 to Mar 30, 2023
- Other offices · 4 to 3Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.5B to $1.8BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.5B to $1.8BMar 31, 2022 to Mar 30, 2023
- RAUM · $1.5B to $1.8BMar 31, 2022 to Mar 30, 2023
- Advisory employees · 27 to 25Mar 31, 2021 to Mar 31, 2022
- Custody of client assets · true to falseMar 31, 2021 to Mar 31, 2022
- Employees · 34 to 31Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.1B to $1.5BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.1B to $1.5BMar 31, 2021 to Mar 31, 2022
- RAUM · $1.1B to $1.5BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 24 to 27Mar 30, 2020 to Mar 31, 2021
- Employees · 30 to 34Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.0B to $1.1BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.0B to $1.1BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.0B to $1.1BMar 30, 2020 to Mar 31, 2021
- Advisory employees · 23 to 24Jul 3, 2019 to Mar 30, 2020
- Employees · 26 to 30Jul 3, 2019 to Mar 30, 2020
Signals
7 dated events
- P•• E••••••••• L•• reported RAUM $1.5B, up 38% from $1.1B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Joseph Scott Schuenke (Chief Financial Officer) appeared on Schedule A of P•• E••••••••• L••Mar 31, 2022 · Control person joined · fact
- Richard James Fisher (Member) no longer on Schedule A of P•• E••••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Michael Kevin Byrne (Chief Compliance Officer) appeared on Schedule A of P•• E••••••••• L••Jul 3, 2019 · Control person joined · fact
- Mark Jeffrey Krauss (Cco, Member) no longer on Schedule A of P•• E••••••••• L•• (listed 2019-06-28, absent 2019-07-03)Jul 3, 2019 · Control person left · inference
- P•• E••••••••• L•• reported RAUM $1.0B, up 59% from $640.0M (2018-06-28 to 2019-06-28)Jun 28, 2019 · RAUM change · derived
- P•• E••••••••• L•• filed its initial SEC registration (Form ADV)Mar 6, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•• E••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•• E••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- PPCE•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-768-4554reportedpublic record, Form ADV, Mar 30, 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