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•••• C•••••• L•
Latest filing Mar 26, 2026
First filing on the tape Aug 12, 2014 · 18 filings
SEC status approved since Sep 8, 2014
RAUM
$1.7B
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.7B as of Mar 26, 2026
Mar 30, 2015$406M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20150 then
Employees (5.A)7 as of Mar 26, 2026
Mar 30, 20156 then
Private funds5 as of Mar 26, 2026
Mar 30, 20151 then
RAUM +11% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $345MderivedRAUM 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
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.7B, 5 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 5 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• C•••• C•••••• F••• I• L• | Private Equity Fund | $899M | 38 | Mar 19, 2019 |
| P•••• C•••• C•••••• P••••••• L• | Private Equity Fund | $400M | 23 | Mar 24, 2021 |
| P•••• C•••• C•••••• F••• I• L• | Private Equity Fund | $62.4M | 36 | Aug 12, 2014 |
| P•••• C•••• C•••••• S•••••••• P••••••• L• | Private Equity Fund | $55.7M | 27 | Mar 24, 2021 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• S••••• L••••••• · Chief Financial Officer, Chief Compliance Officer & Secretarycontrolsince 07/2014 · owns less than 5%
- Q••••••• A••••• A•• · Chief Executive Officer & Managing Partnercontrolsince 06/2014 · owns 10% to 25%
- Z••••••• B••••• F•••••••• · Partnercontrolsince 10/2014 · owns 10% to 25%
- Q••••••• A••••• A•• · Trusteecontrolsince 06/2014 · owns F of T•• R•••• T••••
- Q••••••• A••••• A•• · Managing Membercontrolsince 06/2014 · owns 75% or more of S•••• L••
Entity owners
- S•••• L•• · General Partnerdirect · owns less than 5%
- T•• R•••• T•••• · Limited Partnerdirect · owns 50% to 75%
- B••• M••• B••• C••• · Shareholderindirect · owns 75% or more of T•• B••• M••• T•••• C•••••• O• D••••••• · public reporting company
- T•• B••• M••• T•••• C•••••• O• D••••••• · Trusteeindirect · owns F of T•• R•••• T••••
Related persons
Schedule D 7.A
- P•••• C•••• C•••••• G• I• L••bankpooled vehicle sponsorn
- P•••• C•••• C•••••• G• L••bankpooled vehicle sponsorn
- P•••• C•••• C•••••• P••••••• G• L••bankpooled vehicle sponsorn
- P•••• C•••• C•••••• S•••••••• P••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 5Mar 24, 2025 to Mar 26, 2026
- Pooled vehicle clients · 4 to 5Mar 24, 2025 to Mar 26, 2026
- Assets in custody · $1.6B to $1.7BMar 24, 2025 to Mar 26, 2026
- Private funds · 4 to 5Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.6B to $1.7BMar 24, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $1.6B to $1.7BMar 24, 2025 to Mar 26, 2026
- RAUM · $1.6B to $1.7BMar 24, 2025 to Mar 26, 2026
- Advisory employees · 4 to 5Mar 25, 2024 to Mar 24, 2025
- Assets in custody · $1.4B to $1.6BMar 25, 2024 to Mar 24, 2025
- Employees · 6 to 7Mar 25, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 24, 2025
- RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 24, 2025
- Advisory employees · 5 to 4Apr 19, 2023 to Mar 25, 2024
- Assets in custody · $1.4B to $1.4BApr 19, 2023 to Mar 25, 2024
- Employees · 8 to 6Apr 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.4B to $1.4BApr 19, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BApr 19, 2023 to Mar 25, 2024
- RAUM · $1.4B to $1.4BApr 19, 2023 to Mar 25, 2024
- Advisory employees · 6 to 5Mar 29, 2022 to Mar 27, 2023
- Assets in custody · $1.5B to $1.4BMar 29, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.5B to $1.4BMar 29, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $1.5B to $1.4BMar 29, 2022 to Mar 27, 2023
- RAUM · $1.5B to $1.4BMar 29, 2022 to Mar 27, 2023
- Advisory employees · 5 to 6Mar 24, 2021 to Mar 29, 2022
- Assets in custody · $1.4B to $1.5BMar 24, 2021 to Mar 29, 2022
- Employees · 7 to 8Mar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.4B to $1.5BMar 24, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.4B to $1.5BMar 24, 2021 to Mar 29, 2022
- RAUM · $1.4B to $1.5BMar 24, 2021 to Mar 29, 2022
- Accounts · 2 to 4May 13, 2020 to Mar 24, 2021
- Pooled vehicle clients · 2 to 4May 13, 2020 to Mar 24, 2021
- Assets in custody · $723M to $1.4BMay 13, 2020 to Mar 24, 2021
- Private funds · 2 to 4May 13, 2020 to Mar 24, 2021
- Discretionary RAUM · $723M to $1.4BMay 13, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $723M to $1.4BMay 13, 2020 to Mar 24, 2021
- RAUM · $723M to $1.4BMay 13, 2020 to Mar 24, 2021
- Assets in custody · $728M to $723MMar 19, 2019 to Mar 18, 2020
- Discretionary RAUM · $728M to $723MMar 19, 2019 to Mar 18, 2020
Signals
3 dated events
- P•••• C•••• C•••••• L• reported RAUM $1.4B, up 95% from $723.5M (2020-05-13 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- P•••• C•••• C•••••• L• reported RAUM $728.3M, up 44% from $504.8M (2018-03-16 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- P•••• C•••• C•••••• L• filed its initial SEC registration (Form ADV)Aug 12, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••• C•••• C•••••• L• · Independent Sponsorsshared crd · capital_provider
- P•••• C•••• C•••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P••••C••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-356-6051reportedpublic 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