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•• I••••••••• M••••••••• L•

Former SEC-registered adviserMill Valley, CaliforniaCRD 168825SEC 801-78505IAPD
Latest filing Oct 1, 2015
First filing on the tape Aug 22, 2013 · 8 filings
RAUM
$325M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$325M gross assets
History
8 filings and snapshots on the tape
RAUM$267M as of Feb 26, 2015
Mar 28, 2014$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2015
Mar 28, 20140 then
Employees (5.A)4 as of Feb 26, 2015
Mar 28, 20145 then
Private funds2 as of Feb 26, 2015
Mar 28, 20142 then
RAUM +90% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 1, 2015; 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
$81.4MderivedRAUM 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
+56%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
$21.1M, 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
  • 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)
  • 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)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$21.1M for 3 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P• M•••••• F•••• S••• S••••••••• P•••••••• 3•Hedge Fund$295M22Mar 28, 2014
      P•• M••••• F••• L•Hedge Fund$30.5M10Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••• A••• · Limited Partnercontrol
        since 07/2013 · owns 25% to 50%
      • L••••••• T•••••• J••• · Limited Partner, Chief Compliance Officercontrol
        since 07/2013 · owns 25% to 50%
      • B•••••• R•••• A••• · Managing Membercontrol
        since 07/2013 · owns 25% to 50% of P•• C•••••• M••••••••• L••
      • L••••••• T•••••• J••• · Managing Membercontrol
        since 07/2013 · owns 25% to 50% of P•• C•••••• M••••••••• L••
      Entity owners
      • P•• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • P•• I••••••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      What changed
      consecutive filings, newest first
      • Assets in custody · $21.3M to $21.1M
        Feb 26, 2015 to Jun 30, 2015
      • Employees · 4 to 3
        Feb 26, 2015 to Jun 30, 2015
      • Discretionary RAUM · $267M to $325M
        Feb 26, 2015 to Jun 30, 2015
      • RAUM · $267M to $325M
        Feb 26, 2015 to Jun 30, 2015
      • Assets in custody · $20.9M to $21.3M
        Jul 23, 2014 to Feb 26, 2015
      • Employees · 5 to 4
        Jul 23, 2014 to Feb 26, 2015
      • Discretionary RAUM · $263M to $267M
        Jul 23, 2014 to Feb 26, 2015
      • RAUM · $263M to $267M
        Jul 23, 2014 to Feb 26, 2015
      • Assets in custody · $19.9M to $20.9M
        Mar 28, 2014 to Jul 23, 2014
      • Discretionary RAUM · $171M to $263M
        Mar 28, 2014 to Jul 23, 2014
      • RAUM · $171M to $263M
        Mar 28, 2014 to Jul 23, 2014
      • Assets in custody · unset to 19870443.0
        Dec 20, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Dec 20, 2013 to Mar 28, 2014
      • Private funds · unset to 2
        Dec 20, 2013 to Mar 28, 2014
      • Discretionary RAUM · $117M to $171M
        Dec 20, 2013 to Mar 28, 2014
      • RAUM · $117M to $171M
        Dec 20, 2013 to Mar 28, 2014
      • Accounts · unset to 4.0
        Aug 22, 2013 to Dec 20, 2013
      • Employees · 4 to 5
        Aug 22, 2013 to Dec 20, 2013
      • Discretionary RAUM · unset to 116525000.0
        Aug 22, 2013 to Dec 20, 2013
      • Non-discretionary RAUM · unset to 0.0
        Aug 22, 2013 to Dec 20, 2013
      • RAUM · unset to 116525000.0
        Aug 22, 2013 to Dec 20, 2013
      Signals
      1 dated events
      • P•• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Aug 22, 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