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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

P•••••• C•••••• O••••••••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167650SEC 801-79099IAPD
Latest filing Mar 28, 2019
First filing on the tape Jan 14, 2014 · 10 filings
RAUM
$9.1M
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
106
55 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$9.1M as of Mar 28, 2019
Mar 29, 2016$6.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 31, 20150 then
Employees (5.A)106 as of Mar 28, 2019
Mar 31, 2015102 then
Private funds: no history
RAUM -33% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
$9.1MderivedRAUM 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
-33%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 investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$9.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J•••• F•••••• · Chairman & Ceocontrol
        since 02/2013 · owns less than 5%
      • C••••• M••••••• D•••• · Executive Vpcontrol
        since 02/2013 · owns less than 5%
      • E••••••• G••••• M• · Coo & Presidentcontrol
        since 02/2013 · owns less than 5%
      • V•• D•••• K••••••• L•• · Cfo, Cco, Secretary & Treasurercontrol
        since 04/2018 · owns less than 5%
      • B••••• J•••• F•••••• · Membercontrol
        since 10/2004 · owns 75% or more of P••••••• Management Group, LLC
      • B••••••••• R•••••• M•••••• · Membercontrol
        since 12/2001 · owns 25% to 50% of S••••••• H•••••••• L••
      Entity owners
      • P••••••• C•••••• M••••••••• L••• · Member
        direct · owns 50% to 75%
      • S••••••• H•••••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX3 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 37 to 55
        Apr 12, 2018 to Mar 28, 2019
      • Charity clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • Corporate clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • HNW clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • Individual clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • Pension plan clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 0.0
        Apr 12, 2018 to Mar 28, 2019
      • Employees · 100 to 106
        Apr 12, 2018 to Mar 28, 2019
      • Discretionary RAUM · $13.7M to $9.1M
        Apr 12, 2018 to Mar 28, 2019
      • RAUM · $13.7M to $9.1M
        Apr 12, 2018 to Mar 28, 2019
      • Advisory employees · 35 to 37
        Nov 9, 2017 to Mar 29, 2018
      • Business name · P•••••• E••••• I••••••••• M••••••••• L•• to P•••••• C•••••• O••••••••• F••• M••••••••• L••
        Nov 9, 2017 to Mar 29, 2018
      • Employees · 105 to 100
        Nov 9, 2017 to Mar 29, 2018
      • Legal name · P•••••• E••••• I••••••••• M••••••••• L•• to P•••••• C•••••• O••••••••• F••• M••••••••• L••
        Nov 9, 2017 to Mar 29, 2018
      • Discretionary RAUM · $13.1M to $13.7M
        Nov 9, 2017 to Mar 29, 2018
      • RAUM · $13.1M to $13.7M
        Nov 9, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Nov 9, 2017
      • Discretionary RAUM · $11.1M to $13.1M
        Mar 31, 2017 to Nov 9, 2017
      • RAUM · $11.1M to $13.1M
        Mar 31, 2017 to Nov 9, 2017
      • Advisory employees · 39 to 35
        Mar 29, 2016 to Mar 31, 2017
      • Employees · 110 to 105
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $6.2M to $11.1M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $6.2M to $11.1M
        Mar 29, 2016 to Mar 31, 2017
      • Accounts · unset to 1.0
        Aug 25, 2015 to Mar 29, 2016
      • Advisory employees · 53 to 39
        Aug 25, 2015 to Mar 29, 2016
      • BD registered reps · 18 to 3
        Aug 25, 2015 to Mar 29, 2016
      • Employees · 102 to 110
        Aug 25, 2015 to Mar 29, 2016
      • Discretionary RAUM · unset to 6156963.0
        Aug 25, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · unset to 0.0
        Aug 25, 2015 to Mar 29, 2016
      • RAUM · unset to 6156963.0
        Aug 25, 2015 to Mar 29, 2016
      • Advisory employees · 61 to 53
        Jan 2, 2015 to Mar 31, 2015
      • Employees · 62 to 102
        Jan 2, 2015 to Mar 31, 2015
      • Advisory employees · 96 to 61
        Jan 14, 2014 to Jan 2, 2015
      • Employees · 114 to 62
        Jan 14, 2014 to Jan 2, 2015
      Signals
      1 dated events
      • P•••••• E••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 14, 2014 · 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