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••••••• S••••• S•••••• I••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 12, 2012 · 18 filings
SEC status approved since Nov 21, 2012
RAUM
$479M
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
661
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$479M as of Mar 25, 2026
Mar 31, 2015$32.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Apr 2, 20130 then
Employees (5.A)661 as of Mar 25, 2026
Apr 2, 2013100 then
Private funds: no history
RAUM -48% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $479MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -48%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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$479M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- 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=9.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• F•••••• · Chairman & Ceocontrolsince 07/2012 · owns less than 5%
- E••••••• G••••• M• · Coo & Presidentcontrolsince 07/2012 · owns less than 5%
- V•• D•••• K••••••• L•• · Cfo, Cco, Secretary & Treasurercontrolsince 04/2018 · owns less than 5%
- B••••• J•••• F•••••• · Membercontrolsince 10/2004 · owns 75% or more of P••••••• C•••••• M••••••••• L•••
- B••••••••• E••••• O• R•••••• M•••••• · Membercontrolsince 12/2001 · owns 25% to 50% of S••••••• H•••••••• L••
Entity owners
- P••••••• C•••••• M••••••••• L••• · Memberdirect · owns 50% to 75%
- S••••••• H•••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••• C•••••• M••••••••• L•••investment adviseryRAUM $6.6B
Advisers that list P••••••• S••••• S•••••• I••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
- Darien, CT
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 25, 2026employees (Item 5.A) moved from 60.0 to 661.0 (+1002.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was 0.0% (393 comparable advisers, 100.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 100% percentile
- RAUM down 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $915,719,124 to $479,135,213 (-48.0%) between the annual amendments of 2025-03-27 and 2026-03-25; the peer median change was +4.0% (1148 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 3.8% percentile
What changed
consecutive filings, newest first
- BD registered reps · 7 to 9Mar 27, 2025 to Mar 25, 2026
- Employees · 60 to 661Mar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $916M to $479MMar 27, 2025 to Mar 25, 2026
- RAUM · $916M to $479MMar 27, 2025 to Mar 25, 2026
- Advisory employees · 7 to 9Jun 14, 2024 to Mar 27, 2025
- BD registered reps · 5 to 7Jun 14, 2024 to Mar 27, 2025
- Employees · 61 to 60Jun 14, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Jun 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $969M to $916MJun 14, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · 0.0 to unsetJun 14, 2024 to Mar 27, 2025
- RAUM · $969M to $916MJun 14, 2024 to Mar 27, 2025
- Advisory employees · 53 to 7Mar 28, 2023 to Mar 26, 2024
- BD registered reps · 4 to 5Mar 28, 2023 to Mar 26, 2024
- Employees · 107 to 61Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $902M to $969MMar 28, 2023 to Mar 26, 2024
- RAUM · $902M to $969MMar 28, 2023 to Mar 26, 2024
- Advisory employees · 47 to 53Mar 28, 2022 to Mar 28, 2023
- BD registered reps · 0 to 4Mar 28, 2022 to Mar 28, 2023
- Employees · 97 to 107Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $509M to $902MMar 28, 2022 to Mar 28, 2023
- RAUM · $509M to $902MMar 28, 2022 to Mar 28, 2023
- Related broker-dealer · true to falseMar 28, 2022 to Mar 28, 2023
- Advisory employees · 48 to 47Mar 29, 2021 to Mar 28, 2022
- Employees · 96 to 97Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $607M to $509MMar 29, 2021 to Mar 28, 2022
- RAUM · $607M to $509MMar 29, 2021 to Mar 28, 2022
- Advisory employees · 49 to 48Mar 27, 2020 to Mar 29, 2021
- Employees · 103 to 96Mar 27, 2020 to Mar 29, 2021
- HQ city · NEW YORK to WEST PALM BEACHMar 27, 2020 to Mar 29, 2021
- HQ state · NY to FLMar 27, 2020 to Mar 29, 2021
- Other offices · 0 to 2Mar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $571M to $607MMar 27, 2020 to Mar 29, 2021
- RAUM · $571M to $607MMar 27, 2020 to Mar 29, 2021
- Advisory employees · 55 to 49Mar 29, 2019 to Mar 27, 2020
- BD registered reps · 3 to 0Mar 29, 2019 to Mar 27, 2020
- Employees · 106 to 103Mar 29, 2019 to Mar 27, 2020
- Other offices · 1 to 0Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $418M to $571MMar 29, 2019 to Mar 27, 2020
- RAUM · $418M to $571MMar 29, 2019 to Mar 27, 2020
- Advisory employees · 37 to 55Apr 12, 2018 to Mar 29, 2019
Signals
5 dated events
- P••••••• S••••• S•••••• I••••• M••••••••• L•• reported RAUM $479.1M, down 48% from $915.7M (2025-03-27 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- P••••••• S••••• S•••••• I••••• M••••••••• L•• reported RAUM $901.8M, up 77% from $509.3M (2022-03-28 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- P••••••• S••••• S•••••• I••••• M••••••••• L•• reported RAUM $571.3M, up 37% from $418.3M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- David Michael Cohen (Executive Vp) no longer on Schedule A of P••••••• S••••• S•••••• I••••• M••••••••• L•• (listed 2019-03-29, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- P••••••• S••••• S•••••• I••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 12, 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
- Principal office phone
- 561-285-4044reportedpublic record, Form ADV, Mar 25, 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