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••• V••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 28, 2014 · 25 filings
SEC status approved since Dec 15, 2014
RAUM
$91.5M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$91.5M as of Mar 30, 2026
Mar 26, 2015$232M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20150 then
Employees (5.A)2 as of Mar 30, 2026
Mar 26, 201511 then
Private funds3 as of Mar 30, 2026
Mar 26, 20152 then
RAUM -27% over the last fiscal year-55% 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
- $7.6MderivedRAUM 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
- -27%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 pooled vehiclesreportedItem 5.G
- Custody
- $50.6M, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$52.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.6M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.57 institutional_share=0.0 related_bd=false related_bank=true 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• V••• M••••• F•••• L••• | Hedge Fund | $75.9M | 187 | Jan 24, 2013 |
| P••• V••• X• F••• L• | Private Equity Fund | $49.5M | 52 | Mar 30, 2022 |
| P••• V••• P•• S•••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $21.5M | 126 | Mar 25, 2020 |
| P••• V••• P•••••• E••••• F••• L• | Private Equity Fund | $18.9M | 51 | Mar 14, 2016 |
| P••• V••• S•• I• L••no longer reported | Private Equity Fund | $14.1M | 38 | Oct 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• C•••• F•••• · Cco & Cfocontrolsince 06/2023 · owns less than 5%
- K••••• E••••• J•••• · Managing Membercontrolsince 07/2012 · owns 75% or more
- K••••• E••••• J•••• · Membercontrolsince 07/2012 · owns 75% or more of P••• V••• F•••• G•••• G•• L••
Entity owners
- P••• V••• F•••• G•••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P••• V••• F•••• G•••• G•• L••bankpooled vehicle sponsorn
- P••• V••• P•• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $77.6M to $50.6MMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $125M to $91.5MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $93.0M to $52.5MMar 27, 2025 to Mar 30, 2026
- RAUM · $125M to $91.5MMar 27, 2025 to Mar 30, 2026
- Advisory employees · 6 to 1Feb 28, 2025 to Mar 27, 2025
- Assets in custody · $125M to $77.6MFeb 28, 2025 to Mar 27, 2025
- Employees · 10 to 2Feb 28, 2025 to Mar 27, 2025
- Financial planning clients · unset to Feb 28, 2025 to Mar 27, 2025
- Discretionary RAUM · $264M to $125MFeb 28, 2025 to Mar 27, 2025
- Pooled vehicle RAUM · $172M to $93.0MFeb 28, 2025 to Mar 27, 2025
- RAUM · $264M to $125MFeb 28, 2025 to Mar 27, 2025
- Accounts · 15 to 12Nov 14, 2023 to Mar 26, 2024
- Advisory employees · 11 to 6Nov 14, 2023 to Mar 26, 2024
- Pooled vehicle clients · 13 to 10Nov 14, 2023 to Mar 26, 2024
- Assets in custody · $525M to $125MNov 14, 2023 to Mar 26, 2024
- Employees · 22 to 10Nov 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $972M to $264MNov 14, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $706M to $172MNov 14, 2023 to Mar 26, 2024
- RAUM · $972M to $264MNov 14, 2023 to Mar 26, 2024
- Accounts · 16 to 15May 12, 2023 to Jun 30, 2023
- Pooled vehicle clients · 14 to 13May 12, 2023 to Jun 30, 2023
- Private funds · 4 to 3May 12, 2023 to Jun 30, 2023
- Discretionary RAUM · $991M to $972MMay 12, 2023 to Jun 30, 2023
- Pooled vehicle RAUM · $725M to $706MMay 12, 2023 to Jun 30, 2023
- RAUM · $991M to $972MMay 12, 2023 to Jun 30, 2023
- Accounts · 11 to 16Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 13 to 11Mar 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 9 to 14Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $990M to $525MMar 30, 2022 to Mar 29, 2023
- Employees · 24 to 22Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.6B to $991MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.3B to $725MMar 30, 2022 to Mar 29, 2023
- RAUM · $1.6B to $991MMar 30, 2022 to Mar 29, 2023
- Accounts · 12 to 11Sep 13, 2021 to Mar 30, 2022
- Advisory employees · 10 to 13Sep 13, 2021 to Mar 30, 2022
- Assets in custody · $232M to $990MSep 13, 2021 to Mar 30, 2022
- Employees · 16 to 24Sep 13, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.7B to $1.6BSep 13, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $1.3BSep 13, 2021 to Mar 30, 2022
- RAUM · $1.7B to $1.6BSep 13, 2021 to Mar 30, 2022
Signals
13 dated events
- P••• V••• I••••••••• L•• reported RAUM $124.8M, down 53% from $264.0M (2025-02-28 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- P••• V••• I••••••••• L•• reported RAUM $264.0M, down 73% from $972.4M (2023-11-14 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Isaac Frank Litvack (Member) no longer on Schedule A of P••• V••• I••••••••• L•• (listed 2023-05-12, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- Arden Alyssa Romano (Cco And Cfo) no longer on Schedule A of P••• V••• I••••••••• L•• (listed 2023-05-12, absent 2023-06-30)Jun 30, 2023 · Control person left · inference
- F•••• C••• B•••••••• (Cco & Cfo) appeared on Schedule A of P••• V••• I••••••••• L••Jun 30, 2023 · Control person joined · fact
- Sue M•••••• B•••••• (Chief Operating Officer) no longer on Schedule A of P••• V••• I••••••••• L•• (listed 2023-03-29, absent 2023-05-12)May 12, 2023 · Control person left · inference
- P••• V••• I••••••••• L•• reported RAUM $991.3M, down 39% from $1.6B (2022-03-30 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Sue M•••••• B•••••• (Chief Operating Officer) appeared on Schedule A of P••• V••• I••••••••• L••Mar 29, 2023 · Control person joined · fact
- P••• V••• I••••••••• L•• reported RAUM $1.7B, up 95% from $898.1M (2020-05-05 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- P••• V••• I••••••••• L•• reported RAUM $898.1M, up 131% from $388.5M (2019-06-17 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- P••• V••• I••••••••• L•• reported RAUM $388.5M, up 89% from $205.7M (2018-05-10 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- P••• V••• I••••••••• L•• reported RAUM $205.7M, down 35% from $316.6M (2017-09-29 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- P••• V••• I••••••••• L•• filed its initial SEC registration (Form ADV)Oct 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••• V••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• V••• I••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••V•••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (929) 733-7678reportedpublic 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
- Other 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