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•••••• P•••••• F••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Sep 11, 2013 · 33 filings
SEC status approved since Sep 23, 2013
RAUM
$12B
reported, Item 5.F
Discretionary
87%
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
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
17
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$12B as of Mar 26, 2026
Mar 31, 2014$88.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 31, 20140 then
Employees (5.A)12 as of Mar 26, 2026
Mar 31, 20142 then
Private funds17 as of Mar 26, 2026
Mar 31, 20142 then
RAUM +29% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $453MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 38%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
- +29%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $4.4B, 27 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.6B62%
- Insurance companies$4.6B38%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4B for 27 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.62 institutional_share=0.38 related_bd=true 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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• P•••••• E••••• F••• I••• L••• | Private Equity Fund | $634M | 1 | Feb 26, 2024 |
| P•••••• P•••••• E••••• O••••••••• F••• I•• L• | Private Equity Fund | $568M | 15 | Feb 6, 2018 |
| P•••••• P•••••• E••••• O••••••••• F••• I• L• | Private Equity Fund | $559M | 83 | Mar 28, 2019 |
| P•••••• P•••••• E••••• O••••••••• F••• V• L• | Private Equity Fund | $264M | 27 | Mar 29, 2021 |
| P•••••• P•••••• C••••• F••• I• L• | Private Equity Fund | $258M | 6 | Mar 28, 2019 |
| P•••••• C•••••••• O••••••••• F••• I• L• | Private Equity Fund | $201M | 79 | Mar 29, 2021 |
| P•••••• P•••••• C••••• F••• I•• L• | Private Equity Fund | $196M | 15 | Feb 6, 2018 |
| P•••••• P•••••• C••••• F••• V• L• | Private Equity Fund | $180M | 24 | Mar 29, 2021 |
| P•••••• P•••••• E••••• O••••••••• F••• I• L• | Private Equity Fund | $169M | 13 | Mar 17, 2017 |
| P•••••• C•••••••• O••••••••• F••• I• L• | Private Equity Fund | $149M | 1 | Mar 28, 2019 |
| P•••••• P•••••• C••••• F••• I• L• | Private Equity Fund | $130M | 14 | Mar 17, 2017 |
| P•••••• P•••••• E••••• F••• I• L••• | Private Equity Fund | $124M | 19 | Mar 31, 2014 |
| P••• C••••• O••••••••• F••• I• L• | Private Equity Fund | $90.2M | 76 | Oct 14, 2020 |
| C••••••• E••••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $67.4M | 76 | Nov 2, 2021 |
| P•••••• M••••••••• R••••• F••• L•••no longer reported | Hedge Fund | $54.4M | 1 | Aug 22, 2014 |
| P•••••• P•••••• E••••• O••••••••• F••• V• L••• | Private Equity Fund | $50.0M | 1 | Aug 23, 2024 |
| P•••••• C•••••••• C••••• F••• I• L• | Private Equity Fund | $43.5M | 1 | Mar 29, 2021 |
| P•••••• C•••••••• C••••• F••• I• L• | Private Equity Fund | $37.4M | 1 | Mar 28, 2019 |
| P•••••• A••••••• R••••• S••••••••• F•••• L•••no longer reported | Hedge Fund | $28.2M | 1 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• J••••••• R••••• · Senior Managing Directorcontrolsince 09/2022 · owns less than 5%
- W••••••••• B•••••••• D•••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Entity owners
- P•••••• G••••• A•••• M••••••••• L•• · Managing Member Of Applicantdirect · owns 75% or more
- P•••••• L••• I•••••••• C•••••• · Managing Memberindirect · owns 75% or more of P•••••• G••••• A•••• M••••••••• L••
- P•••••• L••••••• · Parentindirect · owns 75% or more of P•••••• L••• I•••••••• C••••••
- P•••••• M••••• H•••••• C•••••• · Parentindirect · owns 75% or more of P•••••• L•••••••
Related persons
Schedule D 7.A
- C••••••• E••••• O••••••••• I• G• L••pooled vehicle sponsory
- C••••••• O••••••••• I• G• L••pooled vehicle sponsory
- P•••••• C•••••••• C••••• I• G• L••pooled vehicle sponsory
- P•••••• C•••••••• C••••• I• G• L••pooled vehicle sponsory
- P•••••• C•••••••• O••••••••• I• G• L••pooled vehicle sponsory
- P•••••• C•••••••• O••••••••• I• G• L••pooled vehicle sponsory
- P•••••• L••• • A•••••• C••••••real estaten
- P•••••• L••• F••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $43B
- P•••••• L••• I•••••••• C••••••real estatey
- P•••••• P•••••• C••••• I• G• L••pooled vehicle sponsory
- P•••••• P•••••• C••••• I•• G• L••pooled vehicle sponsory
- P•••••• P•••••• C••••• I• G• L••pooled vehicle sponsory
- P•••••• P•••••• C••••• V• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• I• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• I••• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• O••••••••• I• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• O••••••••• I•• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• O••••••••• I• G• L••pooled vehicle sponsory
- P•••••• P•••••• E••••• O••••••••• V• G• L••pooled vehicle sponsory
- P•••••• P•••••• F••••• I•• G• L••pooled vehicle sponsory
- P•••••• P•••••• F••••• I• G• L••pooled vehicle sponsory
- P•••••• S••••• D••••••••• L••broker-dealern
- P••• C••••• O••••••••• I• G• L••pooled vehicle sponsory
Advisers that list P•••••• P•••••• F••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 26, 2026institutional share of RAUM of 38% against a peer median of 0% (684 comparable advisers, 99.0th percentile, 12.8 robust deviations)peers: asset managers, $5B to $20B (684) · 99% percentile
What changed
consecutive filings, newest first
- Advisory employees · 6 to 8Nov 5, 2025 to Mar 26, 2026
- BD registered reps · 1 to 0Nov 5, 2025 to Mar 26, 2026
- Assets in custody · $9.5B to $4.4BNov 5, 2025 to Mar 26, 2026
- Employees · 11 to 12Nov 5, 2025 to Mar 26, 2026
- Financial planning clients · to 0Nov 5, 2025 to Mar 26, 2026
- Discretionary RAUM · $9.0B to $11BNov 5, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $500M to $1.6BNov 5, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $6.5B to $7.6BNov 5, 2025 to Mar 26, 2026
- RAUM · $9.5B to $12BNov 5, 2025 to Mar 26, 2026
- Accounts · 20 to 27Feb 12, 2025 to Mar 28, 2025
- Advisory activities · 2 to 3Feb 12, 2025 to Mar 28, 2025
- Pooled vehicle clients · 20 to 25Feb 12, 2025 to Mar 28, 2025
- Assets in custody · $3.6B to $9.5BFeb 12, 2025 to Mar 28, 2025
- Employees · 13 to 11Feb 12, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 12, 2025 to Mar 28, 2025
- Discretionary RAUM · $5.7B to $9.0BFeb 12, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $500MFeb 12, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $5.7B to $6.5BFeb 12, 2025 to Mar 28, 2025
- RAUM · $5.7B to $9.5BFeb 12, 2025 to Mar 28, 2025
- Private funds · 16 to 17Aug 23, 2024 to Feb 12, 2025
- Private funds · 15 to 16Mar 14, 2024 to Aug 23, 2024
- Accounts · 18 to 20Feb 26, 2024 to Mar 14, 2024
- Pooled vehicle clients · 18 to 20Feb 26, 2024 to Mar 14, 2024
- Assets in custody · $2.6B to $3.6BFeb 26, 2024 to Mar 14, 2024
- Employees · 12 to 13Feb 26, 2024 to Mar 14, 2024
- Discretionary RAUM · $4.5B to $5.7BFeb 26, 2024 to Mar 14, 2024
- Pooled vehicle RAUM · $4.5B to $5.7BFeb 26, 2024 to Mar 14, 2024
- RAUM · $4.5B to $5.7BFeb 26, 2024 to Mar 14, 2024
- Private funds · 14 to 15Dec 15, 2023 to Feb 26, 2024
- Advisory employees · 7 to 6Sep 8, 2022 to Mar 31, 2023
- Assets in custody · $3.1B to $2.6BSep 8, 2022 to Mar 31, 2023
- Private funds · 15 to 14Sep 8, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.7B to $4.5BSep 8, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.7B to $4.5BSep 8, 2022 to Mar 31, 2023
- RAUM · $4.7B to $4.5BSep 8, 2022 to Mar 31, 2023
- Accounts · 19 to 18Mar 30, 2022 to Sep 8, 2022
- Advisory activities · 3 to 2Mar 30, 2022 to Sep 8, 2022
- Discretionary RAUM · $6.4B to $4.7BMar 30, 2022 to Sep 8, 2022
- Pooled vehicle RAUM · $4.4B to $4.7BMar 30, 2022 to Sep 8, 2022
- RAUM · $6.4B to $4.7BMar 30, 2022 to Sep 8, 2022
Signals
13 dated events
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $12.2B, up 29% from $9.5B (2025-11-05 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $9.5B, up 66% from $5.7B (2025-02-12 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $5.7B, up 25% from $4.5B (2024-02-26 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- Elaine Carol Rumsey (Chief Compliance Officer) no longer on Schedule A of P•••••• P•••••• F••• A••••••• L•• (listed 2023-03-31, absent 2023-04-17)Apr 17, 2023 · Control person left · inference
- David Benjamin Wiesenfeld (Chief Compliance Officer) appeared on Schedule A of P•••••• P•••••• F••• A••••••• L••Apr 17, 2023 · Control person joined · fact
- R. James Burritt (Senior Managing Director) no longer on Schedule A of P•••••• P•••••• F••• A••••••• L•• (listed 2022-03-30, absent 2022-09-08)Sep 8, 2022 · Control person left · inference
- R••••• J•••••• J•••••• (Senior Managing Director) appeared on Schedule A of P•••••• P•••••• F••• A••••••• L••Sep 8, 2022 · Control person joined · fact
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $4.7B, down 26% from $6.4B (2022-03-30 to 2022-09-08)Sep 8, 2022 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $6.4B, up 45% from $4.4B (2021-11-02 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $3.7B, up 34% from $2.8B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $2.8B, up 90% from $1.5B (2018-07-05 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• reported RAUM $1.5B, up 107% from $705.3M (2018-02-06 to 2018-03-22)Mar 22, 2018 · RAUM change · derived
- P•••••• P•••••• F••• A••••••• L•• filed its initial SEC registration (Form ADV)Sep 11, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• P•••••• F••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• P•••••• F••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (800) 800-7646reportedpublic record, Form ADV, Mar 26, 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