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•• E••••••• M••••••••• L••

Former SEC-registered adviserPortsmouth, New HampshireCRD 170485SEC 801-79216IAPD
Latest filing Jan 2, 2020
First filing on the tape Feb 10, 2014 · 11 filings
RAUM
$462M
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
56
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$462M as of Dec 23, 2019
Mar 2, 2015$68.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Dec 23, 2019
Mar 2, 201512 then
Employees (5.A)56 as of Dec 23, 2019
Mar 2, 201546 then
Private funds: no history
RAUM +87% over the last fiscal year+57% a year over threeIARs 4 to 12
Practice profile
derived from the filing of Jan 2, 2020; every figure names its basis
RAUM per advisor
$38.5MderivedRAUM 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
$231MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.7derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+87%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$446M96%
  • Other investment advisers$16.8M3.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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•••• A•••••• · Chief Compliance Officercontrol
        since 01/2014 · owns less than 5%
      • D•••••• A•••••• K• · Chief Financial Officercontrol
        since 01/2014 · owns less than 5%
      • K••••• J•••••• F•••••• · Chief Executive Officer, Presidentcontrol
        since 01/2014 · owns less than 5%
      • K••••• J•••••• F•••••• · President And Elected Managercontrol
        since 01/2018 · owns F of I•••• A•••• M••••••••• L••
      • R••••• C••••••• D•••• · Elected Managercontrol
        since 01/2018 · owns F of I•••• A•••• M••••••••• L••
      • S•••• I••• R•••••• · Elected Managercontrol
        since 01/2018 · owns F of I•••• A•••• M••••••••• L••
      Entity owners
      • I•••• A•••• M••••••••• L•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 20
        Dec 27, 2018 to Dec 23, 2019
      • BD registered reps · 2 to 12
        Dec 27, 2018 to Dec 23, 2019
      • Pooled vehicle clients · 1.0 to unset
        Dec 27, 2018 to Dec 23, 2019
      • Employees · 30 to 56
        Dec 27, 2018 to Dec 23, 2019
      • State-registered IARs · 4 to 12
        Dec 27, 2018 to Dec 23, 2019
      • Discretionary RAUM · $248M to $462M
        Dec 27, 2018 to Dec 23, 2019
      • Pooled vehicle RAUM · 11152367.0 to unset
        Dec 27, 2018 to Dec 23, 2019
      • RAUM · $248M to $462M
        Dec 27, 2018 to Dec 23, 2019
      • Advisory employees · 5 to 7
        Dec 19, 2018 to Dec 27, 2018
      • BD registered reps · 4 to 2
        Dec 19, 2018 to Dec 27, 2018
      • Employees · 18 to 30
        Dec 19, 2018 to Dec 27, 2018
      • Discretionary RAUM · $193M to $248M
        Dec 19, 2018 to Dec 27, 2018
      • Pooled vehicle RAUM · $10.6M to $11.2M
        Dec 19, 2018 to Dec 27, 2018
      • RAUM · $193M to $248M
        Dec 19, 2018 to Dec 27, 2018
      • Accounts · 1 to 2
        Mar 15, 2017 to Feb 26, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 15, 2017 to Feb 26, 2018
      • Other offices · unset to 0.0
        Mar 15, 2017 to Feb 26, 2018
      • Discretionary RAUM · $120M to $193M
        Mar 15, 2017 to Feb 26, 2018
      • Pooled vehicle RAUM · unset to 10626456.0
        Mar 15, 2017 to Feb 26, 2018
      • RAUM · $120M to $193M
        Mar 15, 2017 to Feb 26, 2018
      • Advisory employees · 6 to 5
        Mar 18, 2016 to Mar 15, 2017
      • Discretionary RAUM · $88.8M to $120M
        Mar 18, 2016 to Mar 15, 2017
      • RAUM · $88.8M to $120M
        Mar 18, 2016 to Mar 15, 2017
      • Advisory employees · 15 to 6
        Mar 2, 2015 to Mar 18, 2016
      • BD registered reps · 12 to 4
        Mar 2, 2015 to Mar 18, 2016
      • Employees · 46 to 18
        Mar 2, 2015 to Mar 18, 2016
      • State-registered IARs · 12 to 4
        Mar 2, 2015 to Mar 18, 2016
      • Discretionary RAUM · $68.6M to $88.8M
        Mar 2, 2015 to Mar 18, 2016
      • RAUM · $68.6M to $88.8M
        Mar 2, 2015 to Mar 18, 2016
      • Accounts · 0 to 1
        Jul 29, 2014 to Mar 2, 2015
      • Discretionary RAUM · $0 to $68.6M
        Jul 29, 2014 to Mar 2, 2015
      • RAUM · $0 to $68.6M
        Jul 29, 2014 to Mar 2, 2015
      • Business name · P•• W••••••••• M••••••••• L•• to P•• E••••••• M••••••••• L••
        Apr 25, 2014 to Jul 29, 2014
      • Legal name · P•• W••••••••• M••••••••• L•• to P•• E••••••• M••••••••• L••
        Apr 25, 2014 to Jul 29, 2014
      Signals
      3 dated events
      • P•• E••••••• M••••••••• L•• reported RAUM $462.4M, up 87% from $247.8M (2018-12-27 to 2019-12-23)
        Dec 23, 2019 · RAUM change · derived
      • Lee Sallie Krawcheck (Chairperson) no longer on Schedule A of P•• E••••••• M••••••••• L•• (listed 2018-12-27, absent 2019-12-23)
        Dec 23, 2019 · Control person left · inference
      • P•• W••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 10, 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