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•••••• G•••• C•••••• L•
Latest filing May 25, 2018
First filing on the tape Sep 4, 2014 · 10 filings
RAUM
$247M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$247M gross assets
History
10 filings and snapshots on the tape
RAUM$247M as of Mar 29, 2018
Mar 16, 2015$120M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 16, 20150 then
Employees (5.A)4 as of Mar 29, 2018
Mar 16, 20158 then
Private funds2 as of Mar 29, 2018
Mar 16, 20151 then
RAUM -17% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 25, 2018; 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
- $49.4MderivedRAUM 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
- -17%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$247M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• G•••• M••••• F••• L• | Hedge Fund | $20.8M | 25 | Sep 4, 2014 |
| P•••••• G•••• O••••••••• F••• I• L• | Hedge Fund | $12.9M | 8 | Oct 17, 2017 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• J•••• · Managing Partner, Ccocontrolsince 03/2014 · owns 75% or more
- M••••••• R•••••• J•••• · Managercontrolsince 03/2014 · owns 75% or more of P•••••• G•••• C•••••• L••
Entity owners
- P•••••• G•••• C•••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••••• G•••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 2Oct 17, 2017 to Mar 29, 2018
- Employees · 7 to 4Oct 17, 2017 to Mar 29, 2018
- Other offices · 1 to 0Oct 17, 2017 to Mar 29, 2018
- Discretionary RAUM · $242M to $247MOct 17, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · $242M to $247MOct 17, 2017 to Mar 29, 2018
- RAUM · $242M to $247MOct 17, 2017 to Mar 29, 2018
- Accounts · 3 to 5Mar 27, 2017 to Oct 17, 2017
- Charity clients · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Corporate clients · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- HNW clients · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Individual clients · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Pension plan clients · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Pooled vehicle clients · unset to 5.0Mar 27, 2017 to Oct 17, 2017
- Other offices · unset to 1.0Mar 27, 2017 to Oct 17, 2017
- Private funds · 1 to 2Mar 27, 2017 to Oct 17, 2017
- Discretionary RAUM · $296M to $242MMar 27, 2017 to Oct 17, 2017
- HNW RAUM · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Individual RAUM · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Pension RAUM · unset to 0.0Mar 27, 2017 to Oct 17, 2017
- Pooled vehicle RAUM · unset to 242083466.0Mar 27, 2017 to Oct 17, 2017
- RAUM · $296M to $242MMar 27, 2017 to Oct 17, 2017
- Employees · 8 to 7Nov 30, 2016 to Mar 27, 2017
- Discretionary RAUM · $366M to $296MNov 30, 2016 to Mar 27, 2017
- RAUM · $366M to $296MNov 30, 2016 to Mar 27, 2017
- Discretionary RAUM · $120M to $366MMar 16, 2015 to Mar 30, 2016
- RAUM · $120M to $366MMar 16, 2015 to Mar 30, 2016
- Accounts · 0 to 3Sep 4, 2014 to Mar 16, 2015
- Employees · 7 to 8Sep 4, 2014 to Mar 16, 2015
- Discretionary RAUM · $0 to $120MSep 4, 2014 to Mar 16, 2015
- RAUM · $0 to $120MSep 4, 2014 to Mar 16, 2015
Signals
1 dated events
- P•••••• G•••• C•••••• L• filed its initial SEC registration (Form ADV)Sep 4, 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