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••••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 8, 2017 · 15 filings
SEC status approved since Oct 6, 2017
RAUM
$218M
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
21
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$218M as of Mar 24, 2026
Mar 22, 2018$33.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 22, 20180 then
Employees (5.A)21 as of Mar 24, 2026
Mar 22, 20189 then
Private funds5 as of Mar 24, 2026
Mar 22, 20181 then
RAUM -11% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $43.6MderivedRAUM 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
- -11%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 pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$218M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• S••••••••• F••• I• L• | Real Estate Fund | $124M | 99 | Mar 31, 2022 |
| P•• I• J•• M••••• L• | Private Equity Fund | $51.4M | 8 | Mar 25, 2020 |
| P••••••• S••••••••• F••• I• L• | Real Estate Fund | $36.4M | 23 | Sep 7, 2017 |
| P•• I• 5••• C••••••••• L• | Private Equity Fund | $22.3M | 7 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••••• A• · Chief Compliance Officer / Chief Financial Officercontrolsince 06/2013 · owns less than 5%
- D•••••••• V••••• E• · Member / Presidentcontrolsince 06/2013 · owns 50% to 75%
- P•••••• J•••••• L• · Managing Member / Chief Executive Officercontrolsince 06/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- P••••••• R••••• G••••• I•••investment companyn
- P••••••• S••••••••• F••• I• G•• L••bankpooled vehicle sponsorn
- P••••••• S••••••••• F••• I• G• L••bankpooled vehicle sponsorn
- P•• I• 5••• C•••••••• G•• L••pooled vehicle sponsorn
- P•• I• J•• M•••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 25 to 21Mar 25, 2025 to Mar 24, 2026
- Employees · 25 to 21Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $245M to $218MMar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $245M to $218MMar 25, 2025 to Mar 24, 2026
- RAUM · $245M to $218MMar 25, 2025 to Mar 24, 2026
- Accounts · 4 to 5Mar 29, 2024 to Mar 25, 2025
- Advisory employees · 23 to 25Mar 29, 2024 to Mar 25, 2025
- Pooled vehicle clients · 4 to 5Mar 29, 2024 to Mar 25, 2025
- Employees · 31 to 25Mar 29, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 25, 2025
- Private funds · 4 to 5Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $234M to $245MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $234M to $245MMar 29, 2024 to Mar 25, 2025
- RAUM · $234M to $245MMar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $313M to $234MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $313M to $234MMar 30, 2023 to Mar 29, 2024
- RAUM · $313M to $234MMar 30, 2023 to Mar 29, 2024
- Advisory employees · 18 to 23Nov 4, 2022 to Mar 30, 2023
- Employees · 22 to 31Nov 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $287M to $313MNov 4, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $287M to $313MNov 4, 2022 to Mar 30, 2023
- RAUM · $287M to $313MNov 4, 2022 to Mar 30, 2023
- Accounts · 3 to 4Apr 19, 2021 to Mar 31, 2022
- Advisory employees · 17 to 18Apr 19, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 4Apr 19, 2021 to Mar 31, 2022
- Employees · 17 to 22Apr 19, 2021 to Mar 31, 2022
- Private funds · 3 to 4Apr 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $142M to $287MApr 19, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $142M to $287MApr 19, 2021 to Mar 31, 2022
- RAUM · $142M to $287MApr 19, 2021 to Mar 31, 2022
- Discretionary RAUM · $150M to $142MMar 29, 2021 to Apr 19, 2021
- Pooled vehicle RAUM · $150M to $142MMar 29, 2021 to Apr 19, 2021
- RAUM · $150M to $142MMar 29, 2021 to Apr 19, 2021
- Advisory employees · 24 to 17Mar 25, 2020 to Mar 29, 2021
- Employees · 24 to 17Mar 25, 2020 to Mar 29, 2021
- Discretionary RAUM · $101M to $150MMar 25, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $101M to $150MMar 25, 2020 to Mar 29, 2021
- RAUM · $101M to $150MMar 25, 2020 to Mar 29, 2021
- Accounts · 2 to 3Aug 7, 2019 to Mar 25, 2020
- Advisory employees · 13 to 24Aug 7, 2019 to Mar 25, 2020
Signals
3 dated events
- P••••••• A•••••••• L•• reported RAUM $287.1M, up 102% from $142.0M (2021-04-19 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- L. R••••• B••••• (Member / Senior Managing Director) no longer on Schedule A of P••••••• A•••••••• L•• (listed 2020-03-25, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- P••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/prescottgroupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P•••••••GROUP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (214) 750-0009reportedpublic record, Form ADV, Mar 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P••••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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