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•••••• I••••••••• P•••••••• L••

Former SEC-registered adviserShelton, ConnecticutCRD 288244SEC 801-110494IAPD
Latest filing Jun 14, 2021
First filing on the tape Apr 20, 2017 · 23 filings
RAUM
$2.7B
reported, Item 5.F
Discretionary
0.6%
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
17
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$2.7B as of Feb 2, 2021
Mar 16, 2018$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Feb 2, 2021
Mar 16, 20187 then
Employees (5.A)17 as of Feb 2, 2021
Mar 16, 20188 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 12 to 14offices 0 to 1
Practice profile
derived from the filing of Jun 14, 2021; every figure names its basis
RAUM per advisor
$190MderivedRAUM 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
$44.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.6%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$2.4B92%
  • State and municipal entities$225M8.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
56reported
Charitable clients
n/areported
Accounts
60reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••• J••••••• H•••••• · Executive Managing Member And Chief Operating Officercontrol
    since 06/2017 · owns less than 5%
  • F••••• P•••• G••••••• · Executive Managing Member And Chief Executive Officercontrol
    since 05/2017 · owns less than 5%
  • F•••••• C••••••••• E•••• · Managing Member And Chief Compliance Officercontrol
    since 06/2017 · owns less than 5%
  • G••••• T•••••• M•••••• · Managing Membercontrol
    since 06/2017 · owns less than 5%
  • G•••••• L•••• · Managing Membercontrol
    since 06/2017 · owns less than 5%
Entity owners
  • P•••••• P•••••••• L•• · Managing Member (Holding Company)
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Other offices · 0 to 1
    Feb 9, 2021 to Apr 23, 2021
  • Accounts · 52 to 60
    Jun 25, 2020 to Feb 2, 2021
  • Advisory employees · 12 to 14
    Jun 25, 2020 to Feb 2, 2021
  • Advisory activities · 2 to 3
    Jun 25, 2020 to Feb 2, 2021
  • BD registered reps · 2 to 3
    Jun 25, 2020 to Feb 2, 2021
  • Pension plan clients · 48 to 56
    Jun 25, 2020 to Feb 2, 2021
  • Employees · 15 to 17
    Jun 25, 2020 to Feb 2, 2021
  • Insurance-licensed employees · 12 to 14
    Jun 25, 2020 to Feb 2, 2021
  • Financial planning clients · 0 to unset
    Jun 25, 2020 to Feb 2, 2021
  • State-registered IARs · 12 to 14
    Jun 25, 2020 to Feb 2, 2021
  • Discretionary RAUM · $0 to $15.0M
    Jun 25, 2020 to Feb 2, 2021
  • Non-discretionary RAUM · $2.3B to $2.6B
    Jun 25, 2020 to Feb 2, 2021
  • Pension RAUM · $2.1B to $2.4B
    Jun 25, 2020 to Feb 2, 2021
  • RAUM · $2.3B to $2.7B
    Jun 25, 2020 to Feb 2, 2021
  • Accounts · 45 to 52
    Dec 23, 2019 to Mar 3, 2020
  • Advisory employees · 8 to 12
    Dec 23, 2019 to Mar 3, 2020
  • Pension plan clients · 40 to 48
    Dec 23, 2019 to Mar 3, 2020
  • Employees · 9 to 15
    Dec 23, 2019 to Mar 3, 2020
  • Insurance-licensed employees · 8 to 12
    Dec 23, 2019 to Mar 3, 2020
  • State-registered IARs · 8 to 12
    Dec 23, 2019 to Mar 3, 2020
  • Non-discretionary RAUM · $1.9B to $2.3B
    Dec 23, 2019 to Mar 3, 2020
  • Pension RAUM · $1.6B to $2.1B
    Dec 23, 2019 to Mar 3, 2020
  • RAUM · $1.9B to $2.3B
    Dec 23, 2019 to Mar 3, 2020
  • Accounts · 34 to 45
    Nov 26, 2018 to Mar 18, 2019
  • BD registered reps · 0 to 2
    Nov 26, 2018 to Mar 18, 2019
  • Pension plan clients · 30 to 40
    Nov 26, 2018 to Mar 18, 2019
  • Employees · 8 to 9
    Nov 26, 2018 to Mar 18, 2019
  • Insurance-licensed employees · 7 to 8
    Nov 26, 2018 to Mar 18, 2019
  • State-registered IARs · 7 to 8
    Nov 26, 2018 to Mar 18, 2019
  • Non-discretionary RAUM · $1.7B to $1.9B
    Nov 26, 2018 to Mar 18, 2019
  • Pension RAUM · $1.5B to $1.6B
    Nov 26, 2018 to Mar 18, 2019
  • RAUM · $1.7B to $1.9B
    Nov 26, 2018 to Mar 18, 2019
  • Accounts · 20 to 34
    Sep 26, 2017 to Mar 16, 2018
  • Advisory employees · 10 to 8
    Sep 26, 2017 to Mar 16, 2018
  • BD registered reps · 2 to 0
    Sep 26, 2017 to Mar 16, 2018
  • Pension plan clients · unset to 30.0
    Sep 26, 2017 to Mar 16, 2018
  • Employees · 14 to 8
    Sep 26, 2017 to Mar 16, 2018
  • Insurance-licensed employees · 8 to 7
    Sep 26, 2017 to Mar 16, 2018
  • Financial planning clients · unset to 0
    Sep 26, 2017 to Mar 16, 2018
  • State-registered IARs · 0 to 7
    Sep 26, 2017 to Mar 16, 2018
Signals
3 dated events
  • Phil Giuseppe Fiore no longer registered at P•••••• I••••••••• P•••••••• L••; no later IA registration on IAPD
    Feb 2, 2022 · Advisor departure · fact
  • P•••••• I••••••••• P•••••••• L•• reported RAUM $1.7B, up 42% from $1.2B (2017-09-26 to 2018-03-16)
    Mar 16, 2018 · RAUM change · derived
  • P•••••• I••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 20, 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.
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