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•••••• L••
Latest filing May 13, 2026
First filing on the tape Jun 14, 2018 · 17 filings
SEC status approved since Jul 13, 2018
RAUM
$1.9B
reported, Item 5.F
Discretionary
94%
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
18
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.9B as of May 13, 2026
Mar 27, 2019$206M then
HNW client RAUM$0 as of May 13, 2026
Mar 27, 2019$0 then
State-registered IARs (5.B.3)0 as of May 13, 2026
Mar 27, 20190 then
Employees (5.A)18 as of May 13, 2026
Mar 27, 201911 then
Private funds5 as of May 13, 2026
Mar 27, 20192 then
RAUM +26% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 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
- $129MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- +26%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $935M, 13 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $935M for 13 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• P••••••• I••• L• | Private Equity Fund | $755M | 105 | Mar 25, 2022 |
| P••••••••• P••••••• I•• L• | Private Equity Fund | $466M | 122 | Mar 25, 2020 |
| P• M•• L• | Private Equity Fund | $66.7M | 8 | Mar 31, 2017 |
| P••• 2• L• | Private Equity Fund | $11.3M | 4 | Mar 25, 2022 |
| P••••••••• P••••••• I• L• | Private Equity Fund | $0 | 0 | Jul 28, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•••••• L••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- I••••••• D•••• · Chief Operating Officercontrolsince 04/2014 · owns less than 5%
- K•••• A••••• M••••••• · Managing Principalcontrolsince 01/2012 · owns less than 5%
- S••••• H•••••• N••••• · Managing Principalcontrolsince 01/2012 · owns less than 5%
- K•••• A••••• M••••••• · Membercontrolsince 04/2020 · owns 50% to 75% of P••••••••• F••••••• H••••••• L••
- S••••• H•••••• N••••• · Membercontrolsince 04/2020 · owns 50% to 75% of P••••••••• F••••••• H••••••• L••
Entity owners
- P••••••••• F••••••• H••••••• L•• · Ownerdirect · owns 75% or more
- B•• A•••• I••••••••• L• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- 9•••• P••••••• G•• L••pooled vehicle sponsorn
- 9•••• P••••••• G•• L••pooled vehicle sponsorn
- F••• I•• F• P••••••• G•• L••pooled vehicle sponsorn
- P••• G•••••• P•••••• I• L••pooled vehicle sponsorn
- P••• G•••••• P•••••• I•• L••pooled vehicle sponsorn
- P••• G•••••• P•••••• I••• L••pooled vehicle sponsorn
- P••• L•••••••• R••••• G• I••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Newton, MA2 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 15Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 10Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 10 to 12Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $974M to $935MMar 31, 2025 to Mar 31, 2026
- Employees · 20 to 18Mar 31, 2025 to Mar 31, 2026
- Private funds · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.4B to $1.8BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.7BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.5B to $1.9BMar 31, 2025 to Mar 31, 2026
- Accounts · 11 to 13May 13, 2024 to Mar 31, 2025
- Advisory employees · 12 to 11May 13, 2024 to Mar 31, 2025
- Assets in custody · $752M to $974MMay 13, 2024 to Mar 31, 2025
- Employees · 18 to 20May 13, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.3B to $1.4BMay 13, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $101M to $108MMay 13, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.3B to $1.3BMay 13, 2024 to Mar 31, 2025
- RAUM · $1.4B to $1.5BMay 13, 2024 to Mar 31, 2025
- Advisory employees · 13 to 12Aug 4, 2023 to Mar 28, 2024
- Assets in custody · $667M to $752MAug 4, 2023 to Mar 28, 2024
- Employees · 19 to 18Aug 4, 2023 to Mar 28, 2024
- Other offices · 0 to 1Aug 4, 2023 to Mar 28, 2024
- Private funds · 5 to 4Aug 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.3BAug 4, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $99.3M to $101MAug 4, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.2B to $1.3BAug 4, 2023 to Mar 28, 2024
- RAUM · $1.3B to $1.4BAug 4, 2023 to Mar 28, 2024
- Accounts · 12 to 11Mar 28, 2023 to Aug 4, 2023
- Advisory employees · 9 to 13Mar 28, 2023 to Aug 4, 2023
- Pooled vehicle clients · 11 to 10Mar 28, 2023 to Aug 4, 2023
- Assets in custody · $694M to $667MMar 28, 2023 to Aug 4, 2023
- Employees · 16 to 19Mar 28, 2023 to Aug 4, 2023
- Discretionary RAUM · $1.2B to $1.2BMar 28, 2023 to Aug 4, 2023
- Non-discretionary RAUM · $104M to $99.3MMar 28, 2023 to Aug 4, 2023
- Pooled vehicle RAUM · $1.2B to $1.2BMar 28, 2023 to Aug 4, 2023
- RAUM · $1.3B to $1.3BMar 28, 2023 to Aug 4, 2023
- Accounts · 10 to 12Oct 26, 2022 to Mar 28, 2023
- Advisory employees · 11 to 9Oct 26, 2022 to Mar 28, 2023
- Pooled vehicle clients · 9 to 11Oct 26, 2022 to Mar 28, 2023
- Assets in custody · $617M to $694MOct 26, 2022 to Mar 28, 2023
Signals
8 dated events
- P••••••••• C•••••• L•• reported RAUM $1.9B, up 26% from $1.5B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Leo John Sinna (Chief Compliance Officer) no longer on Schedule A of P••••••••• C•••••• L•• (listed 2023-03-28, absent 2023-08-04)Aug 4, 2023 · Control person left · inference
- Lynn Tamara Conway (Chief Compliance Officer) appeared on Schedule A of P••••••••• C•••••• L••Aug 4, 2023 · Control person joined · fact
- P••••••••• C•••••• L•• reported RAUM $1.3B, up 56% from $829.8M (2022-10-26 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- P••••••••• C•••••• L•• reported RAUM $666.1M, up 90% from $349.8M (2020-06-23 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- Leo John Sinna (Chief Compliance Officer) appeared on Schedule A of P••••••••• C•••••• L••Mar 4, 2021 · Control person joined · fact
- P••••••••• C•••••• L•• reported RAUM $349.8M, up 70% from $205.6M (2019-09-16 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- P••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 14, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••••• C•••••• L•• · Private Equityshared crd · organization
- P••••••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••••CAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-726-2640reportedpublic record, Form ADV, May 13, 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