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•••• I••••••••• M••••••••• L•
Latest filing Apr 24, 2026
First filing on the tape Jan 26, 2016 · 33 filings
SEC status approved since Jan 29, 2016
RAUM
$928M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.5%
$14.2M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$928M as of Apr 24, 2026
Mar 29, 2017$94.6M then
HNW client RAUM$12.4M as of Apr 24, 2026
Feb 7, 2018$0 then
State-registered IARs (5.B.3)6 as of Apr 24, 2026
Mar 29, 20170 then
Employees (5.A)9 as of Apr 24, 2026
Mar 29, 201712 then
Private funds1 as of Apr 8, 2025
Mar 29, 20171 then
RAUM +6.5% over the last fiscal year-1.6% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +40%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$629M68%
- Investment companies$227M24%
- Corporations and businesses$57.7M6.2%
- High-net-worth individuals$12.4M1.3%
- Individuals$1.8M0.2%
- Individual clients
- 2reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 177reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.92 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M•••••• L•••••••Chartered Financial Analyst | Garden City, Ny | Apr 18, 2019 | 32 y | 0 |
| D••••• T••••• H•••••Chartered Financial Analyst | Garden City, Ny | Sep 2, 2020 | 16 y | 0 |
| R•••• C••• | Garden City, Ny | Oct 18, 2021 | 21 y | 0 |
| K••••••••• R••••• K••••• | Garden City, Ny | Mar 19, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• E• F•••••• from U••• C•••••• W••••• A•••••••• L••Sep 29, 2022 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• S•••••••• F•••••• F••• L•• | Other Private Fund | $33.6M | 2 | Mar 29, 2023 |
| P•••• A•••• E••••••• I••••• M••••• F••• L•no longer reported | Hedge Fund | $21.1M | 22 | May 26, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J••••• P•••••• · Chief Executive Officercontrolsince 07/2015 · owns less than 5%
- G••••••• W•••••• A••• · Ccocontrolsince 06/2021 · owns less than 5%
- K•••••• K••••••••• R••••• · Directorcontrolsince 01/2018 · owns less than 5%
- L•••••••• B••••• M•••••• · Chief Investment Officercontrolsince 02/2021 · owns less than 5%
- S•••••••• J••••• P•••••• · President, Chief Financial Officer And Chief Operating Officercontrolsince 01/2024 · owns less than 5%
- F••••••••• J••••• P•••••• · Elected Managercontrolsince 08/2015 · owns F of P•••• M••••••••• L••
- K•••••• K••••••••• R••••• · Elected Managercontrolsince 01/2018 · owns F of P•••• M••••••••• L••
Entity owners
- P•••• M••••••••• L•• · Owner, General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- 1•••••••• L••investment advisern
- C••••••••• L••investment advisernRAUM $382M
- U••• C•••••• W••••• A•••••••• L••investment adviseryRAUM $8.8B
Advisers that list P•••• I••••••••• M••••••••• L• as a related person
- 288199 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 176 to 177Feb 4, 2026 to Mar 26, 2026
- Advisory employees · 5 to 6Feb 4, 2026 to Mar 26, 2026
- Advisory activities · 5 to 4Feb 4, 2026 to Mar 26, 2026
- BD registered reps · 0 to 1Feb 4, 2026 to Mar 26, 2026
- HNW clients · 3 to 5Feb 4, 2026 to Mar 26, 2026
- Pooled vehicle clients · 1 to 0Feb 4, 2026 to Mar 26, 2026
- State-registered IARs · 5 to 6Feb 4, 2026 to Mar 26, 2026
- Discretionary RAUM · $871M to $928MFeb 4, 2026 to Mar 26, 2026
- HNW RAUM · $5.3M to $12.4MFeb 4, 2026 to Mar 26, 2026
- Individual RAUM · $1.6M to $1.8MFeb 4, 2026 to Mar 26, 2026
- Pooled vehicle RAUM · $31.4M to $0Feb 4, 2026 to Mar 26, 2026
- RAUM · $871M to $928MFeb 4, 2026 to Mar 26, 2026
- Financial planning clients · 0 to 0Apr 8, 2025 to May 6, 2025
- Private funds · 1 to unsetApr 8, 2025 to May 6, 2025
- Accounts · 163 to 176Apr 15, 2024 to Apr 8, 2025
- Advisory employees · 7 to 5Apr 15, 2024 to Apr 8, 2025
- Advisory activities · 4 to 5Apr 15, 2024 to Apr 8, 2025
- BD registered reps · 1 to 0Apr 15, 2024 to Apr 8, 2025
- Corporate clients · 1 to 2Apr 15, 2024 to Apr 8, 2025
- HNW clients · 4 to 3Apr 15, 2024 to Apr 8, 2025
- Employees · 10 to 9Apr 15, 2024 to Apr 8, 2025
- State-registered IARs · 6 to 5Apr 15, 2024 to Apr 8, 2025
- Discretionary RAUM · $920M to $871MApr 15, 2024 to Apr 8, 2025
- HNW RAUM · $10.5M to $5.3MApr 15, 2024 to Apr 8, 2025
- Individual RAUM · $1.6M to $1.6MApr 15, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $33.6M to $31.4MApr 15, 2024 to Apr 8, 2025
- RAUM · $920M to $871MApr 15, 2024 to Apr 8, 2025
- Accounts · 154 to 163Mar 29, 2023 to Mar 21, 2024
- BD registered reps · 2 to 1Mar 29, 2023 to Mar 21, 2024
- Corporate clients · unset to 1.0Mar 29, 2023 to Mar 21, 2024
- HNW clients · unset to 4.0Mar 29, 2023 to Mar 21, 2024
- Individual clients · unset to 2.0Mar 29, 2023 to Mar 21, 2024
- Employees · 11 to 10Mar 29, 2023 to Mar 21, 2024
- State-registered IARs · 8 to 6Mar 29, 2023 to Mar 21, 2024
- Discretionary RAUM · $973M to $920MMar 29, 2023 to Mar 21, 2024
- HNW RAUM · $10.7M to $10.5MMar 29, 2023 to Mar 21, 2024
- Individual RAUM · $2.4M to $1.6MMar 29, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $0 to $33.6MMar 29, 2023 to Mar 21, 2024
- RAUM · $973M to $920MMar 29, 2023 to Mar 21, 2024
- Accounts · 167 to 154Jun 6, 2022 to Mar 29, 2023
Signals
6 dated events
- Wilhelmina Sheridan (Chief Operating Officer) no longer on Schedule A of P•••• I••••••••• M••••••••• L• (listed 2023-03-29, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
- Patrick Jon Meyer (Chief Compliance Officer) no longer on Schedule A of P•••• I••••••••• M••••••••• L• (listed 2021-04-27, absent 2021-06-02)Jun 2, 2021 · Control person left · inference
- Alan Walter Gilmore (Cco) appeared on Schedule A of P•••• I••••••••• M••••••••• L•Jun 2, 2021 · Control person joined · fact
- Patrick Jon Meyer (Chief Compliance Officer) appeared on Schedule A of P•••• I••••••••• M••••••••• L•Oct 23, 2019 · Control person joined · fact
- N••••••••• E••••• (Chief Compliance Officer) no longer on Schedule A of P•••• I••••••••• M••••••••• L• (listed 2019-03-28, absent 2019-10-23)Oct 23, 2019 · Control person left · inference
- P•••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jan 26, 2016 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-518-2800reportedpublic record, Form ADV, Apr 24, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026