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••••••• P•••• P•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Jun 30, 2015 · 31 filings
SEC status approved since Jul 10, 2015
RAUM
$178M
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
11
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$178M as of Mar 17, 2026
Feb 22, 2016$102M then
HNW client RAUM$0 as of Mar 17, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Feb 22, 20162 then
Employees (5.A)11 as of Mar 17, 2026
Feb 22, 20168 then
Private funds15 as of Mar 17, 2026
Feb 22, 201612 then
RAUM -7.8% over the last fiscal year-11% a year over threeIARs 1 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 17, 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
- $11.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $178M, 15 clientsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$178M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $178M for 15 clientsreported
- Compensation
- % of AUM, 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
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• G••••• P••••••• I•• L• | Private Equity Fund | $121M | 46 | Nov 28, 2017 |
| P••••••• G••••• P••••••• I• •••••••• L• | Private Equity Fund | $72.2M | 29 | Mar 30, 2018 |
| S••••• C• ••••••• E•••••• S••••• I•••••••• O• T•• P••••••• G••••• P••••••• •••••• L• | Private Equity Fund | $34.3M | 52 | Jun 30, 2015 |
| M••• L••no longer reported | Private Equity Fund | $17.5M | 5 | Feb 22, 2016 |
| S••••• D• ••••••••• G•••••• S••••• I••••••• O• T•• P••••••• G••••• P••••••• •••••• L• | Private Equity Fund | $15.6M | 52 | Jun 30, 2015 |
| P••••••• C••••••••• ••••••••• L•• | Private Equity Fund | $11.0M | 29 | Mar 30, 2017 |
| H•••••• P••••••• A••• L•• | Private Equity Fund | $10.1M | 3 | Feb 22, 2016 |
| A••••• A• L••no longer reported | Private Equity Fund | $5.4M | 3 | Jun 30, 2015 |
| P••••••••• 2••• C••••••••• L•• | Private Equity Fund | $5.2M | 18 | Mar 31, 2022 |
| H•••••• P••••••• A• L•• | Private Equity Fund | $5.1M | 8 | Jun 30, 2015 |
| P••••••• P•••• O••••••• •••••••• L••• | Private Equity Fund | $4.4M | 4 | Jun 30, 2015 |
| P••••••• E••••••• C••••••••• L•• | Private Equity Fund | $2.8M | 19 | Mar 22, 2019 |
| P••••••• L•••• C••••••••• L•• | Private Equity Fund | $2.6M | 12 | Mar 19, 2021 |
| P••••••• C••••••••• ••••••• L• | Private Equity Fund | $2.3M | 10 | Mar 22, 2019 |
| P••••••• C••••••••• ••••••• I••• L•• | Private Equity Fund | $2.3M | 12 | Mar 22, 2019 |
| P••••••• C••••••••• ••••••• F••••••• L•• | Private Equity Fund | $2.1M | 2 | Oct 2, 2019 |
| P••••••• R•••• C••••••••• L•• | Private Equity Fund | $1.9M | 6 | Mar 22, 2019 |
| K••••• 2••• H•••••••• L•• | Private Equity Fund | $1.9M | 8 | Mar 28, 2023 |
| P••••••• C••••••••• M••• L•• | Private Equity Fund | $672,091 | 5 | Feb 22, 2016 |
| P••••••• C••••••••• •••• I••• L•• | Private Equity Fund | $274,934 | 7 | Mar 1, 2024 |
| P••••••• ••••••• L••no longer reported | Private Equity Fund | $153,383 | 15 | Feb 22, 2016 |
| P••••••• C••••••••• ••••• L•• | Private Equity Fund | $109,799 | 18 | Mar 22, 2019 |
| P••••••• C••••••••• ••• I••• L•• | Private Equity Fund | $41,740 | 16 | Mar 29, 2020 |
| P••••••• •••••• L••no longer reported | Private Equity Fund | $9,856 | 6 | Feb 22, 2016 |
| P••••••• P••••• C••••••••• L••no longer reported | Private Equity Fund | $0 | 2 | Jun 30, 2015 |
| S••••• B• ••••••• D•••• S••••• I•••••••• O• T•• P••••••• G••••• P••••••• •••••• L•no longer reported | Private Equity Fund | $0 | 0 | Jun 30, 2015 |
| P••••••• E•• C••••••••• L••no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2017 |
| S••••• A• •••• A•••••• S••••• I•••••••• O• T•• P••••••• P•••• P••••••••• L•no longer reported | Real Estate Fund | $0 | 0 | Jun 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• S••••••• J••••• · Chief Compliance Officer, Member, Manager, And Managing Partnercontrolsince 02/2013 · owns 75% or more
- R••••••••• B••••• S•••• · Chief Financial Officercontrolsince 10/2014 · owns less than 5%
- H•••••• C••••••••• P••• · Membersince 11/2013 · owns 5% to 10%
Related persons
Schedule D 7.A
- I••••••••• P••••••• •••• L••pooled vehicle sponsorn
- I••••••••• P•••••••• L••investment advisernRAUM $274M
- P••••••• P•••• P••••••• G• I• •••••••• L•pooled vehicle sponsorn
- P••••••• P•••• P••••••• G• I•• L••pooled vehicle sponsorn
- P••••••• P•••• P••••••• G•• L••pooled vehicle sponsorn
- R••••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 19 to 15May 20, 2025 to Mar 17, 2026
- Advisory employees · 8 to 7May 20, 2025 to Mar 17, 2026
- Pooled vehicle clients · 19 to 15May 20, 2025 to Mar 17, 2026
- Assets in custody · $193M to $178MMay 20, 2025 to Mar 17, 2026
- State-registered IARs · 1 to 0May 20, 2025 to Mar 17, 2026
- Other offices · 2 to 1May 20, 2025 to Mar 17, 2026
- Private funds · 19 to 15May 20, 2025 to Mar 17, 2026
- Discretionary RAUM · $193M to $178MMay 20, 2025 to Mar 17, 2026
- Pooled vehicle RAUM · $193M to $178MMay 20, 2025 to Mar 17, 2026
- RAUM · $193M to $178MMay 20, 2025 to Mar 17, 2026
- Financial planning clients · unset to Mar 14, 2025 to May 20, 2025
- Assets in custody · $216M to $193MMay 13, 2024 to Mar 14, 2025
- Discretionary RAUM · $216M to $193MMay 13, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $216M to $193MMay 13, 2024 to Mar 14, 2025
- RAUM · $216M to $193MMay 13, 2024 to Mar 14, 2025
- Advisory employees · 7 to 8Jul 14, 2023 to Mar 1, 2024
- Corporate clients · unset to 0.0Jul 14, 2023 to Mar 1, 2024
- Assets in custody · $256M to $216MJul 14, 2023 to Mar 1, 2024
- Discretionary RAUM · $256M to $216MJul 14, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $256M to $216MJul 14, 2023 to Mar 1, 2024
- RAUM · $256M to $216MJul 14, 2023 to Mar 1, 2024
- Related insurance company · false to trueApr 11, 2023 to Jul 14, 2023
- Accounts · 20 to 19Oct 10, 2022 to Mar 28, 2023
- Pooled vehicle clients · 20 to 19Oct 10, 2022 to Mar 28, 2023
- Assets in custody · $490M to $256MOct 10, 2022 to Mar 28, 2023
- Employees · 12 to 11Oct 10, 2022 to Mar 28, 2023
- Other offices · 4 to 2Oct 10, 2022 to Mar 28, 2023
- Private funds · 20 to 19Oct 10, 2022 to Mar 28, 2023
- Discretionary RAUM · $490M to $256MOct 10, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $490M to $256MOct 10, 2022 to Mar 28, 2023
- RAUM · $490M to $256MOct 10, 2022 to Mar 28, 2023
- Accounts · 19 to 20Jan 20, 2022 to Mar 31, 2022
- Advisory employees · 4 to 7Jan 20, 2022 to Mar 31, 2022
- Corporate clients · 0.0 to unsetJan 20, 2022 to Mar 31, 2022
- Pooled vehicle clients · 19 to 20Jan 20, 2022 to Mar 31, 2022
- Assets in custody · $390M to $490MJan 20, 2022 to Mar 31, 2022
- Employees · 10 to 12Jan 20, 2022 to Mar 31, 2022
- Other offices · 1 to 4Jan 20, 2022 to Mar 31, 2022
- Private funds · 19 to 20Jan 20, 2022 to Mar 31, 2022
- Discretionary RAUM · $390M to $490MJan 20, 2022 to Mar 31, 2022
Signals
6 dated events
- P••••••• P•••• P•••••••• L•• reported RAUM $256.3M, down 48% from $489.8M (2022-10-10 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Scott Brian Radermacher (Chief Compliance Officer) appeared on Schedule A of P••••••• P•••• P•••••••• L••Mar 31, 2022 · Control person joined · fact
- Lloyd Clarence Castner (Member) no longer on Schedule A of P••••••• P•••• P•••••••• L•• (listed 2021-03-19, absent 2021-11-19)Nov 19, 2021 · Control person left · inference
- P••••••• P•••• P•••••••• L•• reported RAUM $262.1M, down 39% from $429.0M (2019-03-22 to 2019-05-29)May 29, 2019 · RAUM change · derived
- P••••••• P•••• P•••••••• L•• reported RAUM $429.0M, up 74% from $247.3M (2018-05-01 to 2019-03-22)Mar 22, 2019 · RAUM change · derived
- P••••••• P•••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• P•••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• P•••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••P••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-933-1280reportedpublic record, Form ADV, Mar 17, 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
Across the graphs
P••••••• P•••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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