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.
SEC-registered adviser
Pgp Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Jun 28, 2017 · 10 filings
SEC status approved since Jul 28, 2017
RAUM
$223M
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
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$223M as of Mar 30, 2026
Mar 30, 2018$201M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20180 then
Employees (5.A)10 as of Mar 30, 2026
Mar 30, 20188 then
Private funds1 as of Mar 30, 2026
Mar 30, 20181 then
RAUM +34% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $223MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%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
- $223M, 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
- 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)
- 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$223M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $223M 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 |
|---|---|---|---|---|
| Pgp Investors, LLC | Private Equity Fund | $144M | 44 | Sep 22, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Annette Marie De Frank · Trustee Of Stevens Living Trust Dated 12/14/2005controlsince 12/2005 · owns 75% or more
- Brent Martin Stevens · Trustee Of Stevens Living Trust Dated 12/14/2005 & Manager Of Registrantcontrolsince 12/2005 · owns 75% or more
- Ellen Mary Kanoff · General Counsel & Chief Compliance Officersince 07/2013 · owns less than 5%
Entity owners
- Stevens Living Trust Dated 12/14/2005 · Member Of Registrantdirect · owns 75% or more
Related persons
Schedule D 7.A
- Pgp Manager, LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA3 employees
What changed
consecutive filings, newest first
- Assets in custody · $166M to $223MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $166M to $223MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $166M to $223MMar 28, 2025 to Mar 30, 2026
- RAUM · $166M to $223MMar 28, 2025 to Mar 30, 2026
- RAUM · $144M to $166MMar 29, 2024 to Mar 28, 2025
- Assets in custody · $144M to $166MMar 29, 2024 to Mar 28, 2025
- Employees · 9 to 10Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $144M to $166MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $144M to $166MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 7 to 6Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $173M to $144MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $173M to $144MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $173M to $144MMar 31, 2023 to Mar 29, 2024
- RAUM · $173M to $144MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $1.1B to $173MMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $173MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $173MMar 30, 2022 to Mar 31, 2023
- RAUM · $1.1B to $173MMar 30, 2022 to Mar 31, 2023
- Advisory employees · 6 to 7Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $220M to $1.1BMar 31, 2021 to Mar 30, 2022
- Employees · 10 to 9Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $220M to $1.1BMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $220M to $1.1BMar 31, 2021 to Mar 30, 2022
- RAUM · $220M to $1.1BMar 31, 2021 to Mar 30, 2022
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $198M to $220MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $198M to $220MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $198M to $220MMar 30, 2020 to Mar 31, 2021
- RAUM · $198M to $220MMar 30, 2020 to Mar 31, 2021
- Assets in custody · $114M to $198MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $114M to $198MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $114M to $198MMar 29, 2019 to Mar 30, 2020
- RAUM · $114M to $198MMar 29, 2019 to Mar 30, 2020
- Assets in custody · $201M to $114MMar 30, 2018 to Mar 29, 2019
- Employees · 8 to 10Mar 30, 2018 to Mar 29, 2019
- Discretionary RAUM · $201M to $114MMar 30, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $201M to $114MMar 30, 2018 to Mar 29, 2019
- RAUM · $201M to $114MMar 30, 2018 to Mar 29, 2019
- Charity clients · unset to 0.0Jun 28, 2017 to Mar 30, 2018
Signals
3 dated events
- Pgp Advisors, Llc reported RAUM $173.5M, down 84% from $1.1B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Pgp Advisors, Llc reported RAUM $1.1B, up 406% from $219.8M (2021-03-31 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Pgp Advisors, Llc filed its initial SEC registration (Form ADV)Jun 28, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- PGP Advisors, LLC · Independent Sponsorsshared crd · capital_provider
- PGP Advisors, LLC · Private Equityshared crd · organization
- PGP Advisors, LLC · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- PENINSULAPACIFIC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 208-928-7922reportedpublic record, Form ADV, Mar 30, 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