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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Former SEC-registered adviser
P••••••• L••• P••••••• L••
Latest filing Sep 12, 2016
First filing on the tape Jun 30, 2015 · 4 filings
RAUM
$297M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$297M gross assets
History
4 filings and snapshots on the tape
RAUM$297M as of Sep 12, 2016
Jun 30, 2015$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 12, 2016
Jun 30, 20150 then
Employees (5.A)5 as of Sep 12, 2016
Jun 30, 20155 then
Private funds4 as of Sep 12, 2016
Jun 30, 20158 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 12, 2016; 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
- $49.5MderivedRAUM 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
- unknownderivedbetween 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
- Custody
- $2.6M, 2 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
- 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• L••• O••••••• M••••• F••• L••• | Hedge Fund | $250M | 52 | Apr 4, 2013 |
| P••••••• L••• O••••••••• F••• L• • D•• T••• S••••• | Hedge Fund | $27.0M | 20 | Jun 30, 2015 |
| P••••••• L••• O••••••••• F••• L• • D•• S••••• | Hedge Fund | $17.1M | 11 | Mar 31, 2015 |
| P••••••• L••• C•••••••• I• L•• | Hedge Fund | $2.6M | 4 | Mar 26, 2014 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••••••• P•••••• · Chief Compliance Officer, Managing Member, Co-Founder And Portfolio Managercontrolsince 08/2012 · owns 75% or more
- L•••••• J•••••••• P•••••• · Managing Member, Co-Founder And Portfolio Managercontrolsince 08/2012 · owns 75% or more of P•• M• L••
- M••••••••• D••••• J••• · Advisory Chairmansince 08/2012 · owns 10% to 25%
- S•••••••• M•••• •••• · Limited Partnersince 12/2012 · owns 10% to 25%
Entity owners
- P•• M• L•• · Managing Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- P• O••••••••• G• L••bankpooled vehicle sponsorn
- P••••••• L••• O•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEW YORK to unsetMar 29, 2016 to Sep 12, 2016
- HQ state · NY to unsetMar 29, 2016 to Sep 12, 2016
- Assets in custody · $10.7M to $2.6MSep 10, 2015 to Mar 29, 2016
- Discretionary RAUM · $275M to $297MSep 10, 2015 to Mar 29, 2016
- RAUM · $275M to $297MSep 10, 2015 to Mar 29, 2016
- Private funds · 8 to 4Jun 30, 2015 to Sep 10, 2015
Signals
1 dated events
- P••••••• L••• 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••••••• L••• P••••••• L•• · Venture Capitalshared crd · organization
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
- Former SEC-registered adviserderiveda 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