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••••••• S••••• C•••••• M••••••••• L••

Former SEC-registered adviserOgden, UtahCRD 166988SEC 801-78447IAPD
Latest filing Jul 13, 2017
First filing on the tape Aug 9, 2013 · 11 filings
RAUM
$16.5M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$17.5M as of Mar 31, 2017
Mar 27, 2014$42.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Mar 27, 20142 then
Employees (5.A)1 as of Mar 31, 2017
Mar 27, 20144 then
Private funds1 as of Mar 31, 2017
Mar 27, 20143 then
RAUM -61% over the last fiscal year-27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 13, 2017; every figure names its basis
RAUM per advisor
$8.3MderivedRAUM 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
$16.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-58%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• S••••• P•••••••• L•Hedge Fund$30.0M10Feb 28, 2013
      P•••••••• E••••• P•••••••• L•no longer reportedHedge Fund$015Feb 28, 2013
      P•••••••• I••••••••• I••••••••• L•no longer reportedHedge Fund$017Feb 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••••• M••••••• S•••• · Sole Member, Managing Partner, Pmcontrol
        since 01/2017 · owns 75% or more
      • W••••• T•••••• W•••••• · Cco
        since 02/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 31, 2017 to Jul 13, 2017
      • Advisory employees · 1 to 2
        Mar 31, 2017 to Jul 13, 2017
      • Assets in custody · $17.5M to $16.5M
        Mar 31, 2017 to Jul 13, 2017
      • Custody of client assets · true to false
        Mar 31, 2017 to Jul 13, 2017
      • Employees · 1 to 2
        Mar 31, 2017 to Jul 13, 2017
      • Insurance-licensed employees · 0 to 2
        Mar 31, 2017 to Jul 13, 2017
      • Financial planning clients · 1-10 to 0
        Mar 31, 2017 to Jul 13, 2017
      • State-registered IARs · 1 to 2
        Mar 31, 2017 to Jul 13, 2017
      • Private funds · 1 to unset
        Mar 31, 2017 to Jul 13, 2017
      • Discretionary RAUM · $17.5M to $16.5M
        Mar 31, 2017 to Jul 13, 2017
      • RAUM · $17.5M to $16.5M
        Mar 31, 2017 to Jul 13, 2017
      • Related bank · true to false
        Mar 31, 2017 to Jul 13, 2017
      • Assets in custody · $27.0M to $17.5M
        Jan 30, 2017 to Mar 31, 2017
      • Discretionary RAUM · $27.0M to $17.5M
        Jan 30, 2017 to Mar 31, 2017
      • RAUM · $27.0M to $17.5M
        Jan 30, 2017 to Mar 31, 2017
      • Advisory employees · 4 to 1
        Mar 29, 2016 to Jan 30, 2017
      • BD registered reps · 2 to 0
        Mar 29, 2016 to Jan 30, 2017
      • Assets in custody · $42.0M to $27.0M
        Mar 29, 2016 to Jan 30, 2017
      • Employees · 5 to 1
        Mar 29, 2016 to Jan 30, 2017
      • Insurance-licensed employees · 2 to 0
        Mar 29, 2016 to Jan 30, 2017
      • HQ city · NEW YORK to OGDEN
        Mar 29, 2016 to Jan 30, 2017
      • HQ state · NY to UT
        Mar 29, 2016 to Jan 30, 2017
      • State-registered IARs · 2 to 1
        Mar 29, 2016 to Jan 30, 2017
      • Discretionary RAUM · $42.0M to $27.0M
        Mar 29, 2016 to Jan 30, 2017
      • RAUM · $42.0M to $27.0M
        Mar 29, 2016 to Jan 30, 2017
      • Accounts · 3 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Advisory activities · 2 to 1
        Mar 30, 2015 to Mar 29, 2016
      • BD registered reps · 3 to 2
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $39.0M to $42.0M
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 3 to 1
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $55.7M to $42.0M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $55.7M to $42.0M
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 5 to 3
        Sep 24, 2014 to Mar 30, 2015
      • BD registered reps · 0 to 3
        Sep 24, 2014 to Mar 30, 2015
      • Employees · 4 to 5
        Sep 24, 2014 to Mar 30, 2015
      • Discretionary RAUM · $42.0M to $55.7M
        Sep 24, 2014 to Mar 30, 2015
      • RAUM · $42.0M to $55.7M
        Sep 24, 2014 to Mar 30, 2015
      • Accounts · 4 to 5
        Jan 2, 2014 to Mar 27, 2014
      • Advisory activities · 1 to 2
        Jan 2, 2014 to Mar 27, 2014
      • Assets in custody · $52.7M to $39.0M
        Jan 2, 2014 to Mar 27, 2014
      Signals
      1 dated events
      • P••••••• S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 9, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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