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•••• M••••••• C•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jun 30, 2017 · 22 filings
SEC status approved since Aug 11, 2017
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$88.3M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$177M as of Mar 24, 2026
Mar 30, 2018$640M then
HNW client RAUM$0 as of Mar 24, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 30, 20183 then
Employees (5.A)9 as of Mar 24, 2026
Mar 30, 201810 then
Private funds2 as of Mar 24, 2026
Mar 30, 20185 then
RAUM -5.3% over the last fiscal year-7.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $88.3MderivedRAUM 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
- $44.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $177M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$177M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $177M for 4 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• D•••• D•••• | Walnut Creek, Ca | Nov 16, 2017 | 22 y | 0 |
| J••••• T•••• T•••Chartered Financial Analyst | Walnut Creek, Ca | Oct 15, 2025 | 28 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- J•••••• L•• B••••• to E•••• C••••••Apr 6, 2026 · Other
- P•••• W••• L••••• to K••• C•••••• M••••••••• C•••••••••Jan 14, 2022 · Other
Joined, latest
- P•••• W••• L••••• from T•• E••••••••• G••••• I•••Aug 15, 2017 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• M••••••• S•••••• O••••••••• F•••• L• | Hedge Fund | $90.3M | 53 | Mar 25, 2019 |
| P•••• M••••••• R••• E••••• L•••••• F•••• L• | Hedge Fund | $76.7M | 12 | Mar 31, 2016 |
| P•••• M••••••• N••• L•• | Hedge Fund | $18.8M | 7 | Mar 30, 2022 |
| P•••• M••••••• I••••• F•••• L• | Hedge Fund | $16.1M | 25 | Nov 16, 2012 |
| P•••• M••••••• M•••••••• S••• L•• | Hedge Fund | $7.2M | 2 | Mar 28, 2023 |
| P•••• M••••••• S•••• B••••••• L•••••• F•••• L• | Hedge Fund | $7.1M | 73 | Mar 30, 2015 |
| P•••• M••••••• I••••• Q• F•••• L•no longer reported | Hedge Fund | $4.1M | 2 | Mar 31, 2017 |
| P•••• L•••••• F•••• L•no longer reported | Hedge Fund | $3.7M | 2 | Mar 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- D••••• D•••••• D•••• · Managercontrolsince 03/2012 · owns 50% to 75%
- G•••••• S•••••• M•••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- K••••••• V•••••• · Directorcontrolsince 01/2016 · owns less than 5%
- F•••••• A•••••••• · Membercontrolsince 12/2015 · owns 25% to 50% of T•• U••• L••
- K••••••• V•••••• · Chief Executive Officercontrolsince 01/2009 · owns 75% or more of P•••• H•••••••• I•••
- L••••••• M•••••• · Membercontrolsince 12/2015 · owns 25% to 50% of T•• U••• L••
- S••••••• A•••••••• · Membercontrolsince 12/2015 · owns 25% to 50% of T•• U••• L••
Entity owners
- P•••• H•••••••• I••• · Memberdirect · owns 25% to 50%
- T•• U••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 2 | 1 | 0 | ||
| Larkspur, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $187M to $177MMar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $187M to $177MMar 31, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $187M to $177MMar 31, 2025 to Mar 24, 2026
- RAUM · $187M to $177MMar 31, 2025 to Mar 24, 2026
- Accounts · 5 to 4Nov 20, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 4Nov 20, 2024 to Mar 31, 2025
- Assets in custody · $209M to $187MNov 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 20, 2024 to Mar 31, 2025
- Private funds · 3 to 2Nov 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $209M to $187MNov 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $209M to $187MNov 20, 2024 to Mar 31, 2025
- RAUM · $209M to $187MNov 20, 2024 to Mar 31, 2025
- Accounts · 6 to 5Mar 26, 2024 to Nov 20, 2024
- Pooled vehicle clients · 6 to 5Mar 26, 2024 to Nov 20, 2024
- Assets in custody · $184M to $209MMar 26, 2024 to Nov 20, 2024
- Private funds · 6 to 3Mar 26, 2024 to Nov 20, 2024
- Discretionary RAUM · $184M to $209MMar 26, 2024 to Nov 20, 2024
- Pooled vehicle RAUM · $184M to $209MMar 26, 2024 to Nov 20, 2024
- RAUM · $184M to $209MMar 26, 2024 to Nov 20, 2024
- Advisory activities · 2 to 1Sep 26, 2023 to Mar 26, 2024
- BD registered reps · 1 to 0Sep 26, 2023 to Mar 26, 2024
- Assets in custody · $218M to $184MSep 26, 2023 to Mar 26, 2024
- Employees · 10 to 9Sep 26, 2023 to Mar 26, 2024
- Discretionary RAUM · $223M to $184MSep 26, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $218M to $184MSep 26, 2023 to Mar 26, 2024
- RAUM · $223M to $184MSep 26, 2023 to Mar 26, 2024
- Accounts · 7 to 6Nov 17, 2022 to Mar 28, 2023
- Pooled vehicle clients · 7 to 6Nov 17, 2022 to Mar 28, 2023
- Assets in custody · $252M to $218MNov 17, 2022 to Mar 28, 2023
- Private funds · 7 to 6Nov 17, 2022 to Mar 28, 2023
- Discretionary RAUM · $257M to $223MNov 17, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $252M to $218MNov 17, 2022 to Mar 28, 2023
- RAUM · $257M to $223MNov 17, 2022 to Mar 28, 2023
- Advisory employees · 6 to 4Apr 29, 2021 to Mar 30, 2022
- BD registered reps · 0 to 1Apr 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · 6 to 7Apr 29, 2021 to Mar 30, 2022
- Assets in custody · $312M to $252MApr 29, 2021 to Mar 30, 2022
- Employees · 12 to 10Apr 29, 2021 to Mar 30, 2022
- Private funds · 5 to 7Apr 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $316M to $257MApr 29, 2021 to Mar 30, 2022
Signals
7 dated events
- J•••••• L•• B••••• left P•••• M••••••• C•••••• M••••••••• L•• for E•••• C•••••• (registered 2026-06-09)Apr 6, 2026 · Advisor changed firm · fact
- Alexander Frolov (Member) appeared on Schedule A of P•••• M••••••• C•••••• M••••••••• L••May 13, 2022 · Control person joined · fact
- Mikhail Lobanov (Member) appeared on Schedule A of P•••• M••••••• C•••••• M••••••••• L••May 13, 2022 · Control person joined · fact
- P•••• W••• L••••• left P•••• M••••••• C•••••• M••••••••• L•• for K••• C•••••• M••••••••• C••••••••• (registered 2022-03-07)Jan 14, 2022 · Advisor changed firm · fact
- P•••• M••••••• C•••••• M••••••••• L•• reported RAUM $315.6M, down 35% from $484.0M (2020-04-02 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- P•••• M••••••• C•••••• M••••••••• L•• reported RAUM $639.6M, up 31% from $488.6M (2017-08-28 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- P•••• M••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••• M••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/P••••-M•••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-587-5075reportedpublic record, Form ADV, Mar 24, 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
- $88.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026