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••••••••• ••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 169429SEC 801-78720IAPD
Latest filing Jan 25, 2024
First filing on the tape Oct 17, 2013 · 19 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$680M as of Mar 30, 2015
Mar 31, 2014$480M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 25, 2024
Mar 31, 20142 then
Employees (5.A)10 as of Jan 25, 2024
Mar 31, 201411 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 25, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      • C•••••• J•••••••• M••• · President/Chief Executive Officercontrol
        since 10/2018 · owns less than 5%
      • S••••••••• S•••••• A• · Coo/Cco
        since 07/2020 · owns less than 5%
      Entity owners
      • P••••••••• I••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • State-registered IARs · 2 to 1
        Jul 17, 2020 to Jan 10, 2021
      • Other offices · 1 to 0
        Feb 20, 2020 to Jul 17, 2020
      • Advisory employees · 9 to 4
        Mar 22, 2019 to Feb 20, 2020
      • Business name · P••••••••• to P••••••••• ••••••••• L••
        Mar 22, 2019 to Feb 20, 2020
      • Employees · 12 to 10
        Mar 22, 2019 to Feb 20, 2020
      • Charity clients · 2.0 to unset
        Oct 8, 2018 to Mar 22, 2019
      • Pension plan clients · 1.0 to unset
        Oct 8, 2018 to Mar 22, 2019
      • Pension RAUM · 0.0 to unset
        Oct 8, 2018 to Mar 22, 2019
      • Business name · P••••••••• ••••••••• L•• to P•••••••••
        May 15, 2018 to Aug 16, 2018
      • Advisory employees · 8 to 9
        Mar 29, 2018 to Apr 19, 2018
      • Advisory employees · 12 to 8
        Mar 30, 2017 to Mar 29, 2018
      • Charity clients · unset to 2.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 15 to 12
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 11 to 12
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 13 to 15
        Mar 30, 2016 to Mar 30, 2017
      • Financial planning clients · 0 to unset
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 4.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • Financial planning clients · unset to 0
        Mar 30, 2015 to Mar 30, 2016
      • State-registered IARs · 3 to 2
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · 0.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · 680000000.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · 680000000.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 3 to 4
        Oct 3, 2014 to Mar 30, 2015
      • Advisory employees · 10 to 11
        Oct 3, 2014 to Mar 30, 2015
      • Business name · G••••••• A••••••• L•• to P••••••••• ••••••••• L••
        Oct 3, 2014 to Mar 30, 2015
      • Employees · 11 to 13
        Oct 3, 2014 to Mar 30, 2015
      • State-registered IARs · 2 to 3
        Oct 3, 2014 to Mar 30, 2015
      • Legal name · G••••••• A••••••• L•• to P••••••••• ••••••••• L••
        Oct 3, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $480M to $680M
        Oct 3, 2014 to Mar 30, 2015
      • RAUM · $480M to $680M
        Oct 3, 2014 to Mar 30, 2015
      • BD registered reps · 2 to 0
        Mar 31, 2014 to Oct 3, 2014
      • Advisory employees · 7 to 10
        Oct 17, 2013 to Mar 31, 2014
      • Employees · 8 to 11
        Oct 17, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $410M to $480M
        Oct 17, 2013 to Mar 31, 2014
      • RAUM · $410M to $480M
        Oct 17, 2013 to Mar 31, 2014
      • Succession · true to false
        Oct 17, 2013 to Mar 31, 2014
      Signals
      2 dated events
      • G••••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 17, 2013 · Succession (Item 4) · fact
      • G••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 17, 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