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•••••• C•••••• M•••••••••
Legal name P•••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Sep 19, 2013 · 27 filings
SEC status approved since Sep 30, 2013
RAUM
$1.4B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
65%
$945M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$144M
derived; firm RAUM over IAPD count
Employees
21
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
7
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.4B as of Mar 26, 2026
Mar 31, 2014$900M then
HNW client RAUM$923M as of Mar 26, 2026
Mar 23, 2018$525M then
State-registered IARs (5.B.3)9 as of Mar 26, 2026
Mar 31, 20145 then
Employees (5.A)21 as of Mar 26, 2026
Mar 31, 201421 then
Private funds7 as of Mar 26, 2026
Mar 31, 20142 then
RAUM +7.3% over the last fiscal year+15% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $144MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $295M, 7 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$923M64%
- Pooled investment vehicles$295M20%
- Investment companies$70.9M4.9%
- Charitable organizations$65.2M4.5%
- Corporations and businesses$37.5M2.6%
- Other investment advisers$23.9M1.7%
- Individuals$22.5M1.6%
- Pension and profit-sharing plans$6.0M0.4%
- Individual clients
- 130reported
- HNW clients
- 302reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 466reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $295M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.65 fund_share=0.27 institutional_share=0.05 related_bd=true related_bank=false bd_reps=12.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M••• F•••••• | Naples, Fl | Oct 8, 2013 | 28 y | 1 |
| G•••• J••••• P••••• | Naples, Fl | Dec 11, 2013 | 38 y | 1 |
| D•••• A•••• S•••••• | Naples, Fl | Dec 11, 2013 | 16 y | 1 |
| M•• H••••• D••••• | Naples, Fl | Mar 15, 2018 | 18 y | 2 |
| C•••••• ••••• D•••••• A••••• | Naples, Fl | Apr 2, 2019 | 22 y | 0 |
| E•••• A••• E••••••• S••••Chartered Financial Analyst | Naples, Fl | Jul 18, 2022 | 13 y | 0 |
| S••••• T•••Certified Financial Planner | Naples, Fl | Jun 30, 2023 | 26 y | 0 |
| N••••••• G• S•••••• | Naples, Fl | Mar 20, 2025 | 10 y | 0 |
| A••••• J•••••• L•••• | Naples, Fl | Sep 30, 2025 | 13 y | 0 |
| B••••••• B••••••••Certified Financial Planner | Naples, Fl | Aug 13, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• P••••• F••• to C•• A•••• M••••••••• G••••May 29, 2020 · RIA to RIA
- M•••••• A••• F•••••• to F••• M••••• • W••••••••• L••Nov 1, 2017 · Other
Joined, latest
- M•• H••••• D••••• from A••••••••• F•••••••• S•••••••• L••Mar 15, 2018 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••••• V•••• F•••• L••• | Hedge Fund | $159M | 34 | Mar 30, 2012 |
| H••••••• I•••••••• L•• F••• I• | Other Private Fund | $66.6M | 75 | Mar 30, 2017 |
| C•••••• F•••• L••• | Hedge Fund | $27.2M | 30 | Mar 30, 2012 |
| H••••••• I•••••••• L•• N•••••••• F••• | Other Private Fund | $19.6M | 9 | Apr 19, 2017 |
| H••••••• I•••••••• L•• E••••• I••••• P••• | Other Private Fund | $10.8M | 3 | Jul 16, 2024 |
| H••••••• I•••••••• L•• O••••••••• P••••••• F••• | Hedge Fund | $7.0M | 15 | Mar 18, 2022 |
| H••••••• I•••••••• L•• H••••• P••••••• F••• | Hedge Fund | $4.8M | 17 | Mar 18, 2021 |
| H••••••• I•••••••• L•• E••••••• F••• | Other Private Fund | $914,493 | 2 | Mar 18, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C•••••• •••••• D•••••• · President, Cco And General Counselcontrolsince 08/2013 · owns less than 5%
- P•••••• G••••• J••••• · Chief Executive Officercontrolsince 08/2013 · owns less than 5%
- A•••••• C•••••• •••••• D•••••• · Managercontrolsince 08/2013 · owns F of P•••••• B•• H•••••••• L••
- P•••••• G••••• J••••• · M•••••controlsince 08/2013 · owns 75% or more of P•••••• B•• H•••••••• L•• & J••••• I••••••••• L••
Entity owners
- P•••••• C•••••• M••••••••• H•••••••• L• · M•••••direct · owns 75% or more
- P•••••• B•• H•••••••• L•• · General Partnerindirect · owns F of P•••••• C•••••• M••••••••• H•••••••• L•
- J••••• I••••••••• L•• · Limited Partnerindirect · owns 25% to 50% of P•••••• C•••••• M••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- C••••• C•••••• C•••••••••broker-dealern
- H••••••• I•••••••• M••••••• M••••• L••pooled vehicle sponsory
- P•• C•••••• G•• L••pooled vehicle sponsory
- P•• E••••••••• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Naples, Fl · principal | 10 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 420 to 466Mar 20, 2025 to Mar 26, 2026
- Charity clients · 8 to 9Mar 20, 2025 to Mar 26, 2026
- HNW clients · 264 to 302Mar 20, 2025 to Mar 26, 2026
- Individual clients · 124 to 130Mar 20, 2025 to Mar 26, 2026
- Assets in custody · $295M to $295MMar 20, 2025 to Mar 26, 2026
- State-registered IARs · 8 to 9Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.1B to $1.2BMar 20, 2025 to Mar 26, 2026
- HNW RAUM · $854M to $923MMar 20, 2025 to Mar 26, 2026
- Individual RAUM · $17.5M to $22.5MMar 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $215M to $210MMar 20, 2025 to Mar 26, 2026
- Pension RAUM · $5.6M to $6.0MMar 20, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $295M to $295MMar 20, 2025 to Mar 26, 2026
- RAUM · $1.3B to $1.4BMar 20, 2025 to Mar 26, 2026
- Accounts · 397 to 420Jul 16, 2024 to Mar 20, 2025
- BD registered reps · 13 to 12Jul 16, 2024 to Mar 20, 2025
- Charity clients · 6 to 8Jul 16, 2024 to Mar 20, 2025
- HNW clients · 268 to 264Jul 16, 2024 to Mar 20, 2025
- Individual clients · 99 to 124Jul 16, 2024 to Mar 20, 2025
- Assets in custody · $284M to $295MJul 16, 2024 to Mar 20, 2025
- Employees · 20 to 21Jul 16, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Jul 16, 2024 to Mar 20, 2025
- Private funds · 8 to 7Jul 16, 2024 to Mar 20, 2025
- Discretionary RAUM · $1.1B to $1.1BJul 16, 2024 to Mar 20, 2025
- HNW RAUM · $698M to $854MJul 16, 2024 to Mar 20, 2025
- Individual RAUM · $12.9M to $17.5MJul 16, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $23.1M to $215MJul 16, 2024 to Mar 20, 2025
- Pension RAUM · $4.5M to $5.6MJul 16, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $284M to $295MJul 16, 2024 to Mar 20, 2025
- RAUM · $1.1B to $1.3BJul 16, 2024 to Mar 20, 2025
- Private funds · 7 to 8Jun 14, 2024 to Jul 16, 2024
- Accounts · 323 to 397Mar 20, 2023 to Mar 28, 2024
- Advisory employees · 9 to 7Mar 20, 2023 to Mar 28, 2024
- BD registered reps · 11 to 13Mar 20, 2023 to Mar 28, 2024
- Corporate clients · 7 to 5Mar 20, 2023 to Mar 28, 2024
- HNW clients · 210 to 268Mar 20, 2023 to Mar 28, 2024
- Individual clients · 83 to 99Mar 20, 2023 to Mar 28, 2024
- Assets in custody · $217M to $284MMar 20, 2023 to Mar 28, 2024
- Employees · 19 to 20Mar 20, 2023 to Mar 28, 2024
- Financial planning clients · 51-100 to 101-250Mar 20, 2023 to Mar 28, 2024
- State-registered IARs · 7 to 8Mar 20, 2023 to Mar 28, 2024
Signals
4 dated events
- George David Joyce (Chief Financial Officer, Chief Administration Officer) no longer on Schedule A of P•••••• C•••••• M••••••••• (listed 2023-03-20, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- P•••••• C•••••• M••••••••• reported RAUM $956.0M, up 31% from $729.1M (2021-06-07 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- P•••••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 19, 2013 · Succession (Item 4) · fact
- P•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 19, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- information@private-cap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 239-254-2500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 555-555-5555reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-763-0337reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/private-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- private-cap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (239) 254-2500reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- private-cap.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- private-cap.com/leadershipreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $144Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026