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•••• A•••• M••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 282726SEC 801-107208IAPD
Latest filing Jun 8, 2020
First filing on the tape Jan 20, 2016 · 19 filings
RAUM
$47.5M
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
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$20.9M gross assets
History
19 filings and snapshots on the tape
RAUM$47.5M as of Mar 24, 2020
Mar 30, 2016$51.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2020
Mar 30, 20162 then
Employees (5.A)9 as of Mar 24, 2020
Mar 30, 20169 then
Private funds2 as of Mar 24, 2020
Mar 30, 20161 then
RAUM -34% over the last fiscal year-3.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 8, 2020; every figure names its basis
RAUM per advisor
$47.5MderivedRAUM 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
$15.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$20.9M, 2 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
  • Investment companies$33.6M71%
  • Pooled investment vehicles$13.9M29%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$20.9M for 2 clientsreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• R••• R••••• I••••••••• F•••• L••Hedge Fund$18.0M64Mar 31, 2017
      P•• G••••• D••••••••• F•••• L••Hedge Fund$3.0M18Mar 31, 2017
      P•• I••••••••• T•• L••• F•••• L••no longer reportedOther Private Fund$191,24510Aug 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• A•••• R••••• · Memeber And Elected Managercontrol
        since 12/2015 · owns 10% to 25%
      • R••••• J•••• D•••• · Elected Managercontrol
        since 12/2015 · owns less than 5%
      • S•••••• D•••• · Elected Manager And Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • K•••• A•••• R••••• · Member And Elected Managercontrol
        since 12/2015 · owns 75% or more of A•• I•••••••• F•••• L••
      • R••••• J•••• D•••• · Member And Elected Managercontrol
        since 03/2010 · owns 75% or more of P••• V••• Capital,LLC
      • S•••••• D•••• · Member And Elected Managercontrol
        since 03/2010 · owns 25% to 50% of P••• V••• Capital,LLC
      Entity owners
      • A•• I•••••••• F•••• L•• · Member
        direct · owns 10% to 25%
      • P••• V••• C••••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $20.8M to $20.9M
        Nov 6, 2019 to Mar 24, 2020
      • Discretionary RAUM · $58.0M to $44.6M
        Nov 6, 2019 to Mar 24, 2020
      • Non-discretionary RAUM · $3.1M to $2.9M
        Nov 6, 2019 to Mar 24, 2020
      • Pooled vehicle RAUM · $20.8M to $13.9M
        Nov 6, 2019 to Mar 24, 2020
      • RAUM · $61.1M to $47.5M
        Nov 6, 2019 to Mar 24, 2020
      • Assets in custody · $22.8M to $20.8M
        Apr 23, 2019 to Oct 30, 2019
      • Discretionary RAUM · $68.2M to $58.0M
        Apr 23, 2019 to Oct 30, 2019
      • Non-discretionary RAUM · $3.7M to $3.1M
        Apr 23, 2019 to Oct 30, 2019
      • Pooled vehicle RAUM · $22.8M to $20.8M
        Apr 23, 2019 to Oct 30, 2019
      • RAUM · $71.9M to $61.1M
        Apr 23, 2019 to Oct 30, 2019
      • Assets in custody · $72.3M to $22.8M
        Feb 22, 2019 to Mar 27, 2019
      • Discretionary RAUM · $66.3M to $68.2M
        Feb 22, 2019 to Mar 27, 2019
      • Non-discretionary RAUM · $5.3M to $3.7M
        Feb 22, 2019 to Mar 27, 2019
      • Pooled vehicle RAUM · $26.3M to $22.8M
        Feb 22, 2019 to Mar 27, 2019
      • RAUM · $71.5M to $71.9M
        Feb 22, 2019 to Mar 27, 2019
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $53.3M to $72.3M
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 10 to 9
        Mar 31, 2017 to Mar 30, 2018
      • Insurance-licensed employees · 2 to 1
        Mar 31, 2017 to Mar 30, 2018
      • State-registered IARs · 2 to 1
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $47.2M to $66.3M
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $5.9M to $5.3M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 26315417.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $53.1M to $71.5M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 4 to 3
        May 3, 2016 to Mar 31, 2017
      • Assets in custody · $58.2M to $53.3M
        May 3, 2016 to Mar 31, 2017
      • Employees · 9 to 10
        May 3, 2016 to Mar 31, 2017
      • Private funds · 1 to 2
        May 3, 2016 to Mar 31, 2017
      • Discretionary RAUM · $51.3M to $47.2M
        May 3, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $6.2M to $5.9M
        May 3, 2016 to Mar 31, 2017
      • RAUM · $57.5M to $53.1M
        May 3, 2016 to Mar 31, 2017
      • Discretionary RAUM · $44.4M to $51.3M
        Mar 30, 2016 to May 3, 2016
      • Non-discretionary RAUM · $6.9M to $6.2M
        Mar 30, 2016 to May 3, 2016
      • RAUM · $51.3M to $57.5M
        Mar 30, 2016 to May 3, 2016
      • Assets in custody · $53.9M to $58.2M
        May 3, 2016 to May 3, 2016
      • Assets in custody · $58.9M to $53.9M
        Feb 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $46.9M to $44.4M
        Feb 8, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $6.3M to $6.9M
        Feb 8, 2016 to Mar 30, 2016
      • RAUM · $53.2M to $51.3M
        Feb 8, 2016 to Mar 30, 2016
      Signals
      3 dated events
      • Sue Marilyn Cleeff (Chief Compliance Officer) no longer on Schedule A of P•••• A•••• M••••••••• L•• (listed 2019-04-23, absent 2019-10-30)
        Oct 30, 2019 · Control person left · inference
      • P•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 20, 2016 · First SEC registration · fact
      • P•••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jan 20, 2016 · Succession (Item 4) · 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