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•••••• C•••••• ••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 28, 2014 · 21 filings
SEC status approved since Sep 9, 2014
RAUM
$757M
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
9
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$757M as of Mar 30, 2026
Mar 31, 2015$582M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20150 then
Employees (5.A)9 as of Mar 30, 2026
Mar 31, 20159 then
Private funds3 as of Mar 30, 2026
Mar 31, 20154 then
RAUM +0.1% over the last fiscal year-0.2% 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
- $252MderivedRAUM 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
- +0.1%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $758M, 3 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)
- 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$757M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $758M for 3 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
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•••••• A••••••••• E••••• I••••••••• F••• L••• | Private Equity Fund | $394M | 2 | Mar 31, 2015 |
| S•••• T•••••••• L••• | Private Equity Fund | $223M | 1 | Mar 31, 2015 |
| P•••••• G••••• N•••••• R•••••••• F••• I• L•••no longer reported | Private Equity Fund | $181M | 0 | Dec 21, 2012 |
| P•••••• A••••••••• E••••• I••••••••• S• F••• L••• ••••• P•••••• G••••• E••••• I••••••••• F••• I• L•••• | Private Equity Fund | $119M | 4 | Dec 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• S•••••• J••• · Directorcontrolsince 06/2012 · owns less than 5%
- N•••••• D••••• B•••••• · Directorcontrolsince 03/2015 · owns less than 5%
- Z•• K•••• J••••• S•• · Directorcontrolsince 05/2019 · owns less than 5%
- B••••••••• S•••••• J••• · Shareholdercontrolsince 10/2012 · owns 75% or more of C•••••••• A••••••••N Pty. L••••••
- N•••••• D••••• B•••••• · Shareholdercontrolsince 04/2016 · owns 75% or more of B••••••• N••••••• P•• L•••
Entity owners
- P•••••• C•••••• P••••••• L••• · Shareholder - P•••••• C•••••• ••• L••direct · owns 75% or more
- B••••••• N••••••• P•• L••• · Trusteeindirect · owns F of T•• N••••• F••••• T•••• N•• 1•
- C•••••••• A•••••••• P••• L•••••• · Trusteeindirect · owns F of T•• B•••••••• F••••• T••••
- C•••••••• I••••••••• P••• L••• · Shareholderindirect · owns 25% to 50% of P•••••• C•••••• P••••••• L•••
- T•• B•••••••• F••••• T•••• · Shareholderindirect · owns 75% or more of C•••••••• I••••••••• P••• L•••
- T•• N••••• F••••• T•••• N•• 1• · Shareholderindirect · owns 25% to 50% of P•••••• C•••••• P••••••• L•••
Related persons
Schedule D 7.A
- P•••••• A•••• G• L•••investment adviserpooled vehicle sponsory
- P•••••• G••• G•investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Sydney, Australia5 employees
What changed
consecutive filings, newest first
- Assets in custody · $758M to $758MMar 25, 2025 to Mar 30, 2026
- Employees · 8 to 9Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $756M to $757MMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $756M to $757MMar 25, 2025 to Mar 30, 2026
- RAUM · $756M to $757MMar 25, 2025 to Mar 30, 2026
- Advisory employees · 4 to 6Mar 13, 2024 to Mar 25, 2025
- Assets in custody · $739M to $758MMar 13, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 25, 2025
- Discretionary RAUM · $737M to $756MMar 13, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $737M to $756MMar 13, 2024 to Mar 25, 2025
- RAUM · $737M to $756MMar 13, 2024 to Mar 25, 2025
- Related adviser · true to falseMar 13, 2024 to Mar 25, 2025
- Assets in custody · $763M to $739MMar 23, 2023 to Mar 13, 2024
- Discretionary RAUM · $763M to $737MMar 23, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $763M to $737MMar 23, 2023 to Mar 13, 2024
- RAUM · $763M to $737MMar 23, 2023 to Mar 13, 2024
- Assets in custody · $710M to $763MMay 23, 2022 to Mar 23, 2023
- Employees · 5 to 8May 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $710M to $763MMay 23, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $710M to $763MMay 23, 2022 to Mar 23, 2023
- RAUM · $710M to $763MMay 23, 2022 to Mar 23, 2023
- Assets in custody · $701M to $710MMar 8, 2022 to May 9, 2022
- Discretionary RAUM · $695M to $710MMar 8, 2022 to May 9, 2022
- Pooled vehicle RAUM · $695M to $710MMar 8, 2022 to May 9, 2022
- RAUM · $695M to $710MMar 8, 2022 to May 9, 2022
- Advisory employees · 5 to 4Aug 10, 2021 to Mar 8, 2022
- Assets in custody · $639M to $701MAug 10, 2021 to Mar 8, 2022
- Employees · 7 to 5Aug 10, 2021 to Mar 8, 2022
- Discretionary RAUM · $655M to $695MAug 10, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $655M to $695MAug 10, 2021 to Mar 8, 2022
- RAUM · $655M to $695MAug 10, 2021 to Mar 8, 2022
- Advisory employees · 6 to 5Mar 30, 2020 to Mar 29, 2021
- Assets in custody · $586M to $639MMar 30, 2020 to Mar 29, 2021
- Employees · 9 to 7Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $597M to $655MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $597M to $655MMar 30, 2020 to Mar 29, 2021
- RAUM · $597M to $655MMar 30, 2020 to Mar 29, 2021
- Advisory employees · 5 to 6Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $443M to $586MMar 29, 2019 to Mar 30, 2020
- Employees · 7 to 9Mar 29, 2019 to Mar 30, 2020
Signals
2 dated events
- Sia J•••• Zui K••• (Director -Prostar Apeif Management Ltd.) appeared on Schedule A of P•••••• C•••••• ••• L••Mar 30, 2020 · Control person joined · fact
- P•••••• C•••••• ••• L•• filed its initial SEC registration (Form ADV)Aug 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• ••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• C•••••• ••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-542-7230reportedpublic 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