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•••••• W••• I• I••••••••• M••••••••• L••
Latest filing May 6, 2026
First filing on the tape Jul 28, 2017 · 18 filings
SEC status approved since Aug 28, 2017
RAUM
$6.1B
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
38
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$6.1B as of May 6, 2026
Mar 29, 2018$281M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 6, 2026
Mar 29, 20180 then
Employees (5.A)38 as of May 6, 2026
Mar 29, 20182 then
Private funds6 as of May 6, 2026
Mar 29, 20182 then
RAUM +39% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 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
- $558MderivedRAUM 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
- +34%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
- Custody
- $6.1B, 11 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)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$6.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.1B for 11 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• W••• M•••• I• H•••••••• L• | Private Equity Fund | $1.1B | 4 | Nov 2, 2022 |
| P•••••• W••• M•••• I• F••• 3• L• | Private Equity Fund | $924M | 96 | Mar 31, 2022 |
| P•••••• W••• M•••• I• F••• 2• L• | Private Equity Fund | $756M | 42 | Mar 27, 2020 |
| P•••••• W••• M•••• I• F••• 1• L• | Private Equity Fund | $533M | 24 | Jul 28, 2017 |
| P•••••• W••• M•••• I• F••• 4• L• | Private Equity Fund | $133M | 3 | Mar 29, 2024 |
| P• P••••••••• P•••••••• L••no longer reported | Private Equity Fund | $70.5M | 1 | Jul 28, 2017 |
| P•••••• W••• M•••• P••••• C•••••••• L• | Private Equity Fund | $17.0M | 15 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W••••••• G••••• · President, Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- M•••••• L•••••••• S•••• · Chief Executive Officercontrolsince 06/2016 · owns less than 5%
- M•••••• L•••••••• S•••• · Chief Executive Officercontrolsince 04/2013 · owns 25% to 50% of P•••••• W••• E••••••••• H••••••• L••
Entity owners
- P•••••• W••• M•••• P••••••••• L•• · Ownerdirect · owns 75% or more
- B••••••••• A••• H••••••• L•• · Memberindirect · owns 25% to 50% of P••• V••••••• L••
- B••••••••• A•••• M••••••••• L•• · Ownerindirect · owns 25% to 50% of B••••••••• A•••• M••••••••• U••
- B••••••••• A•••• M••••••••• U•• · Ownerindirect · owns 75% or more of B••••••••• U• H••••••• I•••
- B••••••••• C••••••••• · Ownerindirect · owns 75% or more of B••••••••• A•••• M••••••••• U••
- B••••••••• U• H••••••• I••• · Shareholderindirect · owns 50% to 75% of B••••••••• U• I•••
- B••••••••• U• I••• · Memberindirect · owns 50% to 75% of B••••••••• A••• H••••••• L••
- P•••••• W••• E••••••••• H••••••• L•• · Ownerindirect · owns 25% to 50% of P••• V••••••• L••
- P••• V••••••• L•• · Ownerindirect · owns 75% or more of P•••••• W••• M•••• P••••••••• L••
Related persons
Schedule D 7.A
- P•••••• W••• M•••• F••••• G•• L••pooled vehicle sponsorn
- P•••••• W••• M•••• I• F••• 1• G• L••pooled vehicle sponsorn
- P•••••• W••• M•••• I• F••• 2• G• L••pooled vehicle sponsorn
- P•••••• W••• M•••• I• F••• 3• G• L••pooled vehicle sponsorn
- P•••••• W••• M•••• I• F••• 4• G• L••pooled vehicle sponsorn
- P•••••• W••• M•••• I• H••••••• G• L••pooled vehicle sponsorn
- P••• V••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $5.9B to $6.1BMar 31, 2026 to May 6, 2026
- Discretionary RAUM · $5.9B to $6.1BMar 31, 2026 to May 6, 2026
- Pooled vehicle RAUM · $5.9B to $6.1BMar 31, 2026 to May 6, 2026
- RAUM · $5.9B to $6.1BMar 31, 2026 to May 6, 2026
- Accounts · 9 to 11May 15, 2025 to Mar 31, 2026
- Advisory employees · 21 to 22May 15, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 11May 15, 2025 to Mar 31, 2026
- Assets in custody · $4.6B to $5.9BMay 15, 2025 to Mar 31, 2026
- Employees · 37 to 38May 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.6B to $5.9BMay 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.6B to $5.9BMay 15, 2025 to Mar 31, 2026
- RAUM · $4.6B to $5.9BMay 15, 2025 to Mar 31, 2026
- Assets in custody · $4.4B to $4.6BMar 31, 2025 to May 15, 2025
- Financial planning clients · unset to Mar 31, 2025 to May 15, 2025
- Discretionary RAUM · $4.4B to $4.6BMar 31, 2025 to May 15, 2025
- Pooled vehicle RAUM · $4.4B to $4.6BMar 31, 2025 to May 15, 2025
- RAUM · $4.4B to $4.6BMar 31, 2025 to May 15, 2025
- Accounts · 7 to 9May 17, 2024 to Mar 31, 2025
- Advisory employees · 2 to 21May 17, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 9May 17, 2024 to Mar 31, 2025
- Assets in custody · $0 to $4.4BMay 17, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMay 17, 2024 to Mar 31, 2025
- Employees · 2 to 37May 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.4B to $4.4BMay 17, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.4B to $4.4BMay 17, 2024 to Mar 31, 2025
- RAUM · $3.4B to $4.4BMay 17, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.4B to $3.4BMar 29, 2024 to May 17, 2024
- Pooled vehicle RAUM · $3.4B to $3.4BMar 29, 2024 to May 17, 2024
- RAUM · $3.4B to $3.4BMar 29, 2024 to May 17, 2024
- Accounts · 6 to 7Apr 28, 2023 to Mar 29, 2024
- Pooled vehicle clients · 6 to 7Apr 28, 2023 to Mar 29, 2024
- Private funds · 5 to 6Apr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.1B to $3.4BApr 28, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.1B to $3.4BApr 28, 2023 to Mar 29, 2024
- RAUM · $3.1B to $3.4BApr 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.7B to $3.1BMar 31, 2023 to Apr 28, 2023
- Pooled vehicle RAUM · $3.7B to $3.1BMar 31, 2023 to Apr 28, 2023
- RAUM · $3.7B to $3.1BMar 31, 2023 to Apr 28, 2023
- Assets in custody · $70.5M to $0Nov 8, 2022 to Mar 31, 2023
- Custody of client assets · true to falseNov 8, 2022 to Mar 31, 2023
Signals
7 dated events
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $5.9B, up 29% from $4.6B (2025-05-15 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $4.4B, up 28% from $3.4B (2024-05-17 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $3.7B, up 101% from $1.8B (2022-11-08 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $1.7B, up 85% from $940.2M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $892.3M, up 148% from $360.5M (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• reported RAUM $281.3M, up 112% from $132.6M (2017-07-28 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- P•••••• W••• I• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 28, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• W••• I• I••••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• W••• I• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P••••••W•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-661-6990reportedpublic record, Form ADV, May 6, 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