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••••• M•••••• I•••
Latest filing Mar 28, 2018
First filing on the tape May 26, 2015 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 29, 20160 then
Employees (5.A)5 as of Mar 28, 2018
Mar 29, 20165 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, commissionsreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, commissionsreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• E••• · Directorcontrolsince 01/2015 · owns less than 5%
- C•••••••• M•••• · President & Directorcontrolsince 01/2015 · owns less than 5%
- K••••••• J•••••••• A••••• · Treasurer & Directorcontrolsince 01/2015 · owns less than 5%
- S•••••••• D••••••• J• · Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
Entity owners
- P••••••• F•••••••• C••••••••• H••••••• I••• · Shareholderdirect · owns 75% or more
- P••••••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of P••••••• F•••••••• C••••••••• H••••••• I•••
Related persons
Schedule D 7.A
- A••••• A••••••••• G• L••••••pooled vehicle sponsorn
- A••••• A••••••••• S•••••• P•••••• G• L••••••pooled vehicle sponsorn
- A••••• C••••• ••• I• L••pooled vehicle sponsorn
- A••••• C••••• ••• L••pooled vehicle sponsorn
- A••••• C••••• J• L••••••pooled vehicle sponsorn
- A••••• R••• A••••• ••• L••pooled vehicle sponsorn
- A••••• R••• A••••• M••••••••• S••••••pooled vehicle sponsorn
- P••••••• A••••••• G•••• I•••investment adviserLP sponsornRAUM $3.1B
- P••••••• A••••••• G•••• L•••investment adviserbankLP sponsorn
- P••••••• A••••••••• G•••• ••••••••• P••• L•••investment advisern
- Mercer A••••••••• L••••••investment advisernRAUM $5.5B
- P••••••• A••••••••• G••••• L••investment adviserLP sponsorn
- P••••••• F•••••••• C•••••••••pooled vehicle sponsory
- P••••••• G••••• M•••••• L•••broker-dealertrust companyn
Advisers that list P••••••• G••••• M•••••• I••• as a related person
- 137901 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · CHICAGO to MONTR•••, QUEBECMar 30, 2017 to Mar 28, 2018
- HQ state · IL to unsetMar 30, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 28, 2018
- Advisory employees · 3 to 4May 26, 2015 to Mar 29, 2016
Signals
1 dated events
- P••••••• G••••• M•••••• I••• filed its initial SEC registration (Form ADV)May 26, 2015 · 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