DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

P••••• M•••••• A•••• M•••••••••

Former SEC-registered adviserToronto, Ontario, CRD 174091SEC 801-80767IAPD
Latest filing Jan 26, 2017
First filing on the tape Dec 15, 2014 · 7 filings
RAUM
$5.6B
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
77
36 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$5.6B as of Jan 26, 2017
Jan 28, 2016$7.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 26, 2017
Jan 28, 20160 then
Employees (5.A)77 as of Jan 26, 2017
Jan 28, 201672 then
Private funds: no history
RAUM -20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 26, 2017; 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
$156MderivedRAUM 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
-20%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$1.3B, 16 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 16 clientsreported
Compensation
% of AUM, performancereported
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
      • G•••••••• A•••••• F••••••• · Chief Financial Officer, Chief Operating Officer, Executive Committee Membercontrol
        since 04/2005 · owns less than 5%
      • M•• A•••••• M•• H• · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • P•••••• D••••• K•••• · Chief Executive Officer, Executive Committee Membercontrol
        since 08/2004 · owns less than 5%
      • P•••••• D••••• K•••• · Trusteecontrol
        since 08/2004 · owns F of T•• 2••• P••••• F••••• T••••
      • P•••••• D••••• K•••• · President, Shareholdercontrol
        since 08/2004 · owns 25% to 50% of P••••• P•••••• C•••••••••
      • P•••••• D••••• K•••• · President, Shareholdercontrol
        since 04/2016 · owns 75% or more of 2•••••• O•••••• I•••
      • P•••••• S••••••••• L•••• · Trusteecontrol
        since 08/2004 · owns F of T•• 2••• P••••• F••••• T••••
      • S••••••• D•••• B••••••• · Shareholdercontrol
        since 08/2007 · owns 75% or more of W••••••• C•••••• P••••••• I•••
      Entity owners
      • 2•••••• O•••••• I••• · Limited Partner
        direct · owns 5% to 10%
      • P••••• P•••••• C••••••••• · Limited Partner
        direct · owns 25% to 50%
      • T•• 2••• P••••• F••••• T•••• · Shareholder
        indirect · owns 75% or more of P••••• P•••••• C•••••••••
      • W••••••• C•••••• P••••••• I••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 39 to 36
        Jan 28, 2016 to Jan 26, 2017
      • Advisory employees · 35 to 36
        Jan 28, 2016 to Jan 26, 2017
      • Assets in custody · $1.5B to $1.3B
        Jan 28, 2016 to Jan 26, 2017
      • Employees · 72 to 77
        Jan 28, 2016 to Jan 26, 2017
      • Discretionary RAUM · $7.0B to $5.6B
        Jan 28, 2016 to Jan 26, 2017
      • RAUM · $7.0B to $5.6B
        Jan 28, 2016 to Jan 26, 2017
      • Accounts · 41 to 39
        Sep 2, 2015 to Jan 28, 2016
      • Advisory employees · 32 to 35
        Sep 2, 2015 to Jan 28, 2016
      • Advisory activities · 2 to 3
        Sep 2, 2015 to Jan 28, 2016
      • Assets in custody · $2.3B to $1.5B
        Sep 2, 2015 to Jan 28, 2016
      • Employees · 65 to 72
        Sep 2, 2015 to Jan 28, 2016
      • Discretionary RAUM · $10B to $7.0B
        Sep 2, 2015 to Jan 28, 2016
      • RAUM · $10B to $7.0B
        Sep 2, 2015 to Jan 28, 2016
      Signals
      1 dated events
      • P••••• M•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Dec 15, 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