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•••••• E••••• M••••••••• I• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2014 · 14 filings
SEC status approved since Apr 9, 2014
RAUM
$171M
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
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$171M as of Mar 31, 2026
Mar 30, 2015$379M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20150 then
Employees (5.A)8 as of Mar 31, 2026
Mar 30, 201514 then
Private funds1 as of Mar 31, 2026
Mar 30, 20151 then
RAUM -28% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $171MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -28%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
- $149M, 1 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)
- 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
- Pooled investment vehicles$171M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $149M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• E••••• I• L• | Private Equity Fund | $250M | 38 | Mar 21, 2014 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• R••• · Managing Partner And Membercontrolsince 12/2013 · owns 75% or more
- A••••••• S••••• E•••••••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• E••••• G• I• L•pooled vehicle sponsorn
- P•••••• E••••• H••••••• I• L••pooled vehicle sponsorn
- P•••••• E••••• M••••••••• L••investment advisern
- P•••••• E••••• P••••••• H••••••• I• L••pooled vehicle sponsorn
- P•••••• E••••• P••••••• I• L•pooled vehicle sponsorn
Advisers that list P•••••• E••••• M••••••••• I• L•• as a related person
- 163214 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $236,888,339 to $171,407,407 (-28.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 9.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 7Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $189M to $149MMar 28, 2025 to Mar 31, 2026
- Employees · 6 to 8Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $237M to $171MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $237M to $171MMar 28, 2025 to Mar 31, 2026
- RAUM · $237M to $171MMar 28, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Mar 30, 2024 to Mar 28, 2025
- Assets in custody · $193M to $189MMar 30, 2024 to Mar 28, 2025
- Employees · 8 to 6Mar 30, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 30, 2024 to Mar 28, 2025
- Discretionary RAUM · $250M to $237MMar 30, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $250M to $237MMar 30, 2024 to Mar 28, 2025
- RAUM · $250M to $237MMar 30, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Mar 31, 2023 to Mar 30, 2024
- Assets in custody · $223M to $193MMar 31, 2023 to Mar 30, 2024
- Employees · 6 to 8Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $283M to $250MMar 31, 2023 to Mar 30, 2024
- Pooled vehicle RAUM · $283M to $250MMar 31, 2023 to Mar 30, 2024
- RAUM · $283M to $250MMar 31, 2023 to Mar 30, 2024
- Assets in custody · $343M to $223MMar 31, 2022 to Mar 31, 2023
- Employees · 8 to 6Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $343M to $283MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $343M to $283MMar 31, 2022 to Mar 31, 2023
- RAUM · $343M to $283MMar 31, 2022 to Mar 31, 2023
- Advisory employees · 6 to 4Jul 28, 2021 to Mar 31, 2022
- Assets in custody · $246M to $343MJul 28, 2021 to Mar 31, 2022
- Employees · 14 to 8Jul 28, 2021 to Mar 31, 2022
- Discretionary RAUM · $346M to $343MJul 28, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $346M to $343MJul 28, 2021 to Mar 31, 2022
- RAUM · $346M to $343MJul 28, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $261M to $246MMar 30, 2020 to Mar 31, 2021
- Employees · 13 to 14Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $372M to $346MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $372M to $346MMar 30, 2020 to Mar 31, 2021
- RAUM · $372M to $346MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $239M to $261MMar 27, 2019 to Mar 30, 2020
- Employees · 14 to 13Mar 27, 2019 to Mar 30, 2020
- Discretionary RAUM · $406M to $372MMar 27, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $406M to $372MMar 27, 2019 to Mar 30, 2020
Signals
1 dated events
- P•••••• E••••• M••••••••• I• L•• filed its initial SEC registration (Form ADV)Mar 21, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• E••••• M••••••••• I• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• E••••• M••••••••• I• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 817-898-1500reportedpublic record, Form ADV, Mar 31, 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