DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••• P••••••• L••
Latest filing Jun 8, 2026
First filing on the tape Mar 9, 2017 · 29 filings
SEC status approved since Mar 21, 2017
RAUM
$825M
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
22
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$825M as of Jun 8, 2026
Feb 7, 2018$477M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 8, 2026
Feb 7, 20180 then
Employees (5.A)22 as of Jun 8, 2026
Feb 7, 201811 then
Private funds2 as of Jun 8, 2026
Feb 7, 20182 then
RAUM -1.9% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 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
- $412MderivedRAUM 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
- -1.9%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
- $690M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$825M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $690M for 2 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••••••• P••••••• I••••••••• C•••••• L•• | Private Equity Fund | $590M | 177 | May 4, 2017 |
| P••••••• P••••••• C•••••• L••no longer reported | Private Equity Fund | $147M | 123 | Feb 7, 2018 |
| S•••• C•••• C••••••••• H••••••• L•• | Private Equity Fund | $55.6M | 18 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• F••••••••• W••••• · Chief Executive Officercontrolsince 04/2017 · owns less than 5%
- L•••••• F••••••••• R••• · Chairmancontrolsince 02/2017 · owns less than 5%
- M•••••• B••••••• L•••• · Presidentcontrolsince 04/2017 · owns less than 5%
- T•••••••• L••••• E•••••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- B••••••••• F••••••••• W••••• · Limited Partnercontrolsince 02/2017 · owns 25% to 50% of P••••••• P••••••• H••••••• L•
- B••••••••• F••••••••• W••••• · Membercontrolsince 02/2017 · owns 25% to 50% of P••••••• P••••••• H••••••• G• L••
- M•••••• B••••••• L•••• · Limited Partnercontrolsince 04/2017 · owns 25% to 50% of P••••••• P••••••• H••••••• L•
- M•••••• B••••••• L•••• · Membercontrolsince 04/2017 · owns 25% to 50% of P••••••• P••••••• H••••••• G• L••
Entity owners
- P••••••• P••••••• H••••••• G• L•• · Managing Memberdirect · owns less than 5%
- P••••••• P••••••• H••••••• L• · Memberdirect · owns 75% or more
- P••••••• P••••••• H••••••• G• L•• · General Partnerindirect · owns F of P••••••• P••••••• H••••••• L•
Related persons
Schedule D 7.A
- B•••••• L•••• M•••••pooled vehicle sponsory
- F•••••••• R••• L•••••pooled vehicle sponsory
- F•••••••• W••••• B••••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 14 to 16Mar 31, 2026 to Apr 1, 2026
- Assets in custody · $628M to $690MMar 31, 2026 to Apr 1, 2026
- Employees · 21 to 22Mar 31, 2026 to Apr 1, 2026
- Discretionary RAUM · $841M to $825MMar 31, 2026 to Apr 1, 2026
- Pooled vehicle RAUM · $841M to $825MMar 31, 2026 to Apr 1, 2026
- RAUM · $841M to $825MMar 31, 2026 to Apr 1, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 3, 2025
- Assets in custody · $835M to $628MSep 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $646M to $841MSep 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $646M to $841MSep 26, 2024 to Mar 31, 2025
- RAUM · $646M to $841MSep 26, 2024 to Mar 31, 2025
- Advisory employees · 13 to 14Jun 12, 2023 to Mar 29, 2024
- Employees · 17 to 21Jun 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $912M to $646MJun 12, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $912M to $646MJun 12, 2023 to Mar 29, 2024
- RAUM · $912M to $646MJun 12, 2023 to Mar 29, 2024
- Advisory employees · 12 to 13Jan 5, 2023 to Mar 30, 2023
- Assets in custody · $647M to $835MJan 5, 2023 to Mar 30, 2023
- Employees · 16 to 17Jan 5, 2023 to Mar 30, 2023
- Discretionary RAUM · $742M to $912MJan 5, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $742M to $912MJan 5, 2023 to Mar 30, 2023
- RAUM · $742M to $912MJan 5, 2023 to Mar 30, 2023
- Advisory employees · 11 to 12Apr 13, 2021 to Mar 30, 2022
- Assets in custody · $373M to $647MApr 13, 2021 to Mar 30, 2022
- Employees · 15 to 16Apr 13, 2021 to Mar 30, 2022
- Discretionary RAUM · $475M to $742MApr 13, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $475M to $742MApr 13, 2021 to Mar 30, 2022
- RAUM · $475M to $742MApr 13, 2021 to Mar 30, 2022
- Accounts · 1 to 2Apr 12, 2021 to Apr 13, 2021
- Pooled vehicle clients · 1 to 2Apr 12, 2021 to Apr 13, 2021
- Private funds · 1 to 2Apr 12, 2021 to Apr 13, 2021
- Assets in custody · $353M to $373MJan 30, 2021 to Mar 30, 2021
- Discretionary RAUM · $455M to $475MJan 30, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $455M to $475MJan 30, 2021 to Mar 30, 2021
- RAUM · $455M to $475MJan 30, 2021 to Mar 30, 2021
- Accounts · 2 to 1Apr 20, 2020 to Jan 30, 2021
- Advisory employees · 10 to 11Apr 20, 2020 to Jan 30, 2021
- Pooled vehicle clients · 2 to 1Apr 20, 2020 to Jan 30, 2021
- Assets in custody · $249M to $353MApr 20, 2020 to Jan 30, 2021
- Employees · 14 to 15Apr 20, 2020 to Jan 30, 2021
Signals
7 dated events
- P••••••• P••••••• L•• reported RAUM $840.8M, up 30% from $645.7M (2024-09-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P••••••• P••••••• L•• reported RAUM $645.7M, down 29% from $911.9M (2023-06-12 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Chambers Kathleen Mattina (Chief Compliance Officer) no longer on Schedule A of P••••••• P••••••• L•• (listed 2023-01-05, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Elizabeth Laura Thompson (Chief Compliance Officer) appeared on Schedule A of P••••••• P••••••• L••Mar 30, 2023 · Control person joined · fact
- P••••••• P••••••• L•• reported RAUM $741.9M, up 56% from $475.2M (2021-04-13 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- P••••••• P••••••• L•• reported RAUM $477.3M, up 57% from $304.4M (2017-07-20 to 2018-02-07)Feb 7, 2018 · RAUM change · derived
- P••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••••LLC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 713-335-2300reportedpublic record, Form ADV, Jun 8, 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