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Former SEC-registered adviser

P•• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 289815SEC 801-113692IAPD
Latest filing Nov 22, 2018
First filing on the tape Jun 26, 2018 · 2 filings
RAUM
$25.0M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$10.0M gross assets
History
2 filings and snapshots on the tape
RAUM$25.0M as of Nov 22, 2018
Jun 26, 2018$15.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 22, 2018
Jun 26, 20180 then
Employees (5.A)6 as of Nov 22, 2018
Jun 26, 20187 then
Private funds1 as of Nov 22, 2018
Jun 26, 20181 then
Practice profile
derived from the filing of Nov 22, 2018; 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
$6.3MderivedRAUM 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
unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$10.0M, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Corporations and businesses$15.0M60%
  • Pooled investment vehicles$10.0M40%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$10.0M for 3 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• J• C•••• D•••••• M••••• F••• L••••••Hedge Fund$2.0M8Mar 29, 2021
      P•• G••••• A•••• M••••• F••• L••••••Hedge Fund$00Sep 22, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• S••••• D••••• · Member And Chief Compliance Officercontrol
        since 05/2017 · owns 50% to 75%
      • S••••••••• P•••• A•••••• · Membercontrol
        since 05/2017 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • P•• C•••••• L••
        investment advisern
      • P•• G•••••• P•••••• L••••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Jun 26, 2018 to Nov 22, 2018
      • Advisory employees · 5 to 3
        Jun 26, 2018 to Nov 22, 2018
      • Corporate clients · unset to 1.0
        Jun 26, 2018 to Nov 22, 2018
      • Assets in custody · $15.0M to $10.0M
        Jun 26, 2018 to Nov 22, 2018
      • Employees · 7 to 6
        Jun 26, 2018 to Nov 22, 2018
      • Discretionary RAUM · $15.0M to $25.0M
        Jun 26, 2018 to Nov 22, 2018
      • Pooled vehicle RAUM · $15.0M to $10.0M
        Jun 26, 2018 to Nov 22, 2018
      • RAUM · $15.0M to $25.0M
        Jun 26, 2018 to Nov 22, 2018
      Signals
      1 dated events
      • P•• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jun 26, 2018 · 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