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•••• C•••••• M••••••••• L•
Latest filing Mar 25, 2026
First filing on the tape Mar 13, 2017 · 19 filings
SEC status approved since Apr 6, 2017
RAUM
$4.3B
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$4.3B as of Mar 25, 2026
Mar 27, 2018$328M then
HNW client RAUM$0 as of Mar 25, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20180 then
Employees (5.A)10 as of Mar 25, 2026
Mar 27, 20184 then
Private funds1 as of Mar 25, 2026
Mar 27, 20181 then
RAUM +30% over the last fiscal year+28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $616MderivedRAUM 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
- +30%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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$4.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- 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=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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• A••••••• R••••• F••• L• | Hedge Fund | $1.6B | 53 | Mar 13, 2017 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• R•••••• N••••• · Portfolio Manager / Limited Partnercontrolsince 01/2022 · owns 10% to 25%
- R••••••• P•••• L•••• · Chief Compliance Officer And Chief Finanacial Officercontrolsince 12/2019 · owns less than 5%
- S••••• P••••• B•••••• · Portfolio Manager / Limited Partnercontrolsince 02/2017 · owns 75% or more
- S•••••• W••••••• D•••• · Portfolio Manager / Limited Partnercontrolsince 02/2017 · owns 10% to 25%
- S••••• P••••• B•••••• · Membercontrolsince 02/2017 · owns 75% or more of P•••• C•••••• M••••••••• G• L••
Entity owners
- P•••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••• A••••••• R••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $3.3B to $4.3BSep 5, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.3B to $4.3BSep 5, 2025 to Mar 25, 2026
- RAUM · $3.3B to $4.3BSep 5, 2025 to Mar 25, 2026
- Advisory employees · 8 to 7Mar 21, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.6B to $3.3BMar 21, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.6B to $3.3BMar 21, 2024 to Mar 26, 2025
- RAUM · $2.6B to $3.3BMar 21, 2024 to Mar 26, 2025
- Advisory employees · 6 to 8Apr 17, 2023 to Mar 21, 2024
- Employees · 8 to 10Apr 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $2.1B to $2.6BApr 17, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $2.1B to $2.6BApr 17, 2023 to Mar 21, 2024
- RAUM · $2.1B to $2.6BApr 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.9B to $2.1BNov 1, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $1.9B to $2.1BNov 1, 2022 to Mar 23, 2023
- RAUM · $1.9B to $2.1BNov 1, 2022 to Mar 23, 2023
- Accounts · 6 to 7Mar 30, 2021 to Mar 24, 2022
- Pooled vehicle clients · 6 to 7Mar 30, 2021 to Mar 24, 2022
- Discretionary RAUM · $1.1B to $1.9BMar 30, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $1.1B to $1.9BMar 30, 2021 to Mar 24, 2022
- RAUM · $1.1B to $1.9BMar 30, 2021 to Mar 24, 2022
- Accounts · 7 to 6Mar 30, 2020 to Mar 30, 2021
- Pooled vehicle clients · 7 to 6Mar 30, 2020 to Mar 30, 2021
- Employees · 7 to 8Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $768M to $1.1BMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $768M to $1.1BMar 30, 2020 to Mar 30, 2021
- RAUM · $768M to $1.1BMar 30, 2020 to Mar 30, 2021
- Accounts · 4 to 7Dec 13, 2019 to Mar 30, 2020
- Advisory employees · 5 to 6Dec 13, 2019 to Mar 30, 2020
- Pooled vehicle clients · 4 to 7Dec 13, 2019 to Mar 30, 2020
- Employees · 5 to 7Dec 13, 2019 to Mar 30, 2020
- Discretionary RAUM · $613M to $768MDec 13, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $613M to $768MDec 13, 2019 to Mar 30, 2020
- RAUM · $613M to $768MDec 13, 2019 to Mar 30, 2020
- Advisory employees · 4 to 5Mar 27, 2018 to Mar 21, 2019
- Employees · 4 to 5Mar 27, 2018 to Mar 21, 2019
- Discretionary RAUM · $328M to $613MMar 27, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $328M to $613MMar 27, 2018 to Mar 21, 2019
- RAUM · $328M to $613MMar 27, 2018 to Mar 21, 2019
- Charity clients · unset to 0.0Sep 15, 2017 to Mar 27, 2018
Signals
9 dated events
- P•••• C•••••• M••••••••• L• reported RAUM $4.3B, up 30% from $3.3B (2025-09-05 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- P•••• C•••••• M••••••••• L• reported RAUM $3.3B, up 29% from $2.6B (2024-03-21 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Rajeev Rewari (Limited Partner) appeared on Schedule A of P•••• C•••••• M••••••••• L•Apr 11, 2022 · Control person joined · fact
- P•••• C•••••• M••••••••• L• reported RAUM $1.9B, up 73% from $1.1B (2021-03-30 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- P•••• C•••••• M••••••••• L• reported RAUM $1.1B, up 41% from $767.5M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- P•••• C•••••• M••••••••• L• reported RAUM $767.5M, up 25% from $612.7M (2019-12-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Louis Paul Rotondi (Chief Compliance Officer) appeared on Schedule A of P•••• C•••••• M••••••••• L•Dec 13, 2019 · Control person joined · fact
- P•••• C•••••• M••••••••• L• reported RAUM $612.7M, up 87% from $327.8M (2018-03-27 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
- P•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Mar 13, 2017 · 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
- Principal office phone
- 203-487-5185reportedpublic record, Form ADV, Mar 25, 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