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••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 20, 2017 · 15 filings
SEC status approved since Apr 3, 2017
RAUM
$719M
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
14
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$719M as of Mar 27, 2026
Mar 19, 2018$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 19, 20180 then
Employees (5.A)14 as of Mar 27, 2026
Mar 19, 201811 then
Private funds3 as of Mar 27, 2026
Mar 19, 20181 then
RAUM -1.0% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $240MderivedRAUM 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
- -1.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $719M, 3 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)
- 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 testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$719M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $719M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• C•••••• I•• L• | Private Equity Fund | $441M | 70 | Mar 22, 2019 |
| P••••••••• C••••••• L• | Private Equity Fund | $106M | 108 | Jun 27, 2016 |
| P••••••••• C•••••• I••• L• | Private Equity Fund | $0 | 0 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• C••••• W•••• · Chief Financial Officer, Manager And Partnercontrolsince 09/2015 · owns 10% to 25%
- G••••• E•••••• R••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- M••••••• D••••• R••••• · Manager And Partnercontrolsince 09/2015 · owns 25% to 50%
- M••••••• J••••• F••••• · Manager And Partnercontrolsince 09/2015 · owns 25% to 50%
- M•••••••• D••••• R••• · Manager And Partnercontrolsince 09/2015 · owns 10% to 25%
Related persons
Schedule D 7.A
- P••••••••• M••••••••• I•• L•pooled vehicle sponsorn
- P••••••••• M••••••••• I••• L•pooled vehicle sponsorn
- P••••••••• M••••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 9Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $727M to $719MMar 28, 2025 to Mar 27, 2026
- Employees · 15 to 14Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $727M to $719MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $727M to $719MMar 28, 2025 to Mar 27, 2026
- RAUM · $727M to $719MMar 28, 2025 to Mar 27, 2026
- Advisory employees · 9 to 10Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $0 to $727MMar 27, 2024 to Mar 28, 2025
- Employees · 12 to 15Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $547M to $727MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $547M to $727MMar 27, 2024 to Mar 28, 2025
- RAUM · $547M to $727MMar 27, 2024 to Mar 28, 2025
- Accounts · 2 to 3Mar 27, 2023 to Mar 27, 2024
- Advisory employees · 14 to 9Mar 27, 2023 to Mar 27, 2024
- Pooled vehicle clients · 2 to 3Mar 27, 2023 to Mar 27, 2024
- Assets in custody · $631M to $0Mar 27, 2023 to Mar 27, 2024
- Employees · 18 to 12Mar 27, 2023 to Mar 27, 2024
- Private funds · 2 to 3Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $631M to $547MMar 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $631M to $547MMar 27, 2023 to Mar 27, 2024
- RAUM · $631M to $547MMar 27, 2023 to Mar 27, 2024
- Advisory employees · 12 to 14Mar 30, 2022 to Mar 27, 2023
- Assets in custody · $686M to $631MMar 30, 2022 to Mar 27, 2023
- Employees · 15 to 18Mar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $686M to $631MMar 30, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $686M to $631MMar 30, 2022 to Mar 27, 2023
- RAUM · $686M to $631MMar 30, 2022 to Mar 27, 2023
- Advisory employees · 14 to 12Dec 8, 2021 to Mar 30, 2022
- Assets in custody · $627M to $686MDec 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $627M to $686MDec 8, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $627M to $686MDec 8, 2021 to Mar 30, 2022
- RAUM · $627M to $686MDec 8, 2021 to Mar 30, 2022
- Assets in custody · $699M to $627MMar 19, 2021 to Dec 8, 2021
- Discretionary RAUM · $699M to $627MMar 19, 2021 to Dec 8, 2021
- Pooled vehicle RAUM · $699M to $627MMar 19, 2021 to Dec 8, 2021
- RAUM · $699M to $627MMar 19, 2021 to Dec 8, 2021
- Advisory employees · 12 to 14Mar 23, 2020 to Mar 19, 2021
- Assets in custody · $642M to $699MMar 23, 2020 to Mar 19, 2021
- Employees · 13 to 15Mar 23, 2020 to Mar 19, 2021
Signals
5 dated events
- P••••••••• L•• reported RAUM $726.5M, up 33% from $547.3M (2024-03-27 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Ladawn Kristina Heinze (Manager And Partner) no longer on Schedule A of P••••••••• L•• (listed 2023-03-27, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Ross Ernest Goffi (Chief Compliance Officer) appeared on Schedule A of P••••••••• L••Dec 8, 2021 · Control person joined · fact
- P••••••••• L•• reported RAUM $641.8M, up 152% from $254.8M (2019-04-18 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- P••••••••• L•• filed its initial SEC registration (Form ADV)Mar 20, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-698-6300reportedpublic record, Form ADV, Mar 27, 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