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•••••••••
Legal name P•••• C•••••• M••••••••• I•••
Latest filing Mar 2, 2026
First filing on the tape Sep 12, 2017 · 15 filings
SEC status approved since Oct 12, 2017
RAUM
$225M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$156M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$74.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$225M as of Mar 2, 2026
Mar 28, 2018$115M then
HNW client RAUM$64.8M as of Mar 2, 2026
Mar 28, 2018$55.0M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Mar 28, 20181 then
Employees (5.A)4 as of Mar 2, 2026
Mar 28, 20183 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $74.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $318,079derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $225MreportedItem 5.I
- Custody
- $74.7M, 120 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$91.0M45%
- High-net-worth individuals$64.8M32%
- Pension and profit-sharing plans$41.3M21%
- Corporations and businesses$2.8M1.4%
- Charitable organizations$400,1530.2%
- Individual clients
- 241reported
- HNW clients
- 32reported
- Pension plan clients
- 25reported
- Charitable clients
- 2reported
- Accounts
- 706reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $74.7M for 120 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M••••• O••••••• | White Plains, Ny | Jan 26, 2018 | 20 y | 3 |
| G•••••• P••• P•••• | White Plains, Ny | Sep 26, 2018 | 32 y | 2 |
| G•••••••• B•••••••• | White Plains, Ny | Jan 7, 2019 | 21 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- G•••••• P••• P•••• from W•••• F•••• A•••••••Sep 26, 2018 · Wirehouse to independent RIA
- B•••• M••••• O••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 26, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• G••••••• P••• · President/Shareholder/Ccocontrolsince 09/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| White Plains, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 665 to 706Jan 30, 2025 to Mar 2, 2026
- Corporate clients · 8 to 5Jan 30, 2025 to Mar 2, 2026
- HNW clients · 30 to 32Jan 30, 2025 to Mar 2, 2026
- Pension plan clients · 22 to 25Jan 30, 2025 to Mar 2, 2026
- Assets in custody · $64.7M to $74.7MJan 30, 2025 to Mar 2, 2026
- Employees · 3 to 4Jan 30, 2025 to Mar 2, 2026
- Financial planning clients · 51-100 to 101-250Jan 30, 2025 to Mar 2, 2026
- Discretionary RAUM · $196M to $225MJan 30, 2025 to Mar 2, 2026
- HNW RAUM · $58.9M to $64.8MJan 30, 2025 to Mar 2, 2026
- Individual RAUM · $77.4M to $91.0MJan 30, 2025 to Mar 2, 2026
- Pension RAUM · $34.2M to $41.3MJan 30, 2025 to Mar 2, 2026
- RAUM · $196M to $225MJan 30, 2025 to Mar 2, 2026
- Accounts · 635 to 665Nov 19, 2024 to Jan 30, 2025
- HNW clients · 31 to 30Nov 19, 2024 to Jan 30, 2025
- Individual clients · 229 to 241Nov 19, 2024 to Jan 30, 2025
- Pension plan clients · 27 to 22Nov 19, 2024 to Jan 30, 2025
- Assets in custody · $48.7M to $64.7MNov 19, 2024 to Jan 30, 2025
- Financial planning clients · 26-50 to 51-100Nov 19, 2024 to Jan 30, 2025
- Discretionary RAUM · $181M to $196MNov 19, 2024 to Jan 30, 2025
- HNW RAUM · $57.9M to $58.9MNov 19, 2024 to Jan 30, 2025
- Individual RAUM · $68.4M to $77.4MNov 19, 2024 to Jan 30, 2025
- Pension RAUM · $31.1M to $34.2MNov 19, 2024 to Jan 30, 2025
- RAUM · $181M to $196MNov 19, 2024 to Jan 30, 2025
- Accounts · 609 to 635Jan 23, 2023 to Mar 19, 2024
- Corporate clients · 4 to 8Jan 23, 2023 to Mar 19, 2024
- HNW clients · 47 to 31Jan 23, 2023 to Mar 19, 2024
- Individual clients · 202 to 229Jan 23, 2023 to Mar 19, 2024
- Assets in custody · unset to 48719406.0Jan 23, 2023 to Mar 19, 2024
- Custody of client assets · false to trueJan 23, 2023 to Mar 19, 2024
- Employees · 4 to 3Jan 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $163M to $181MJan 23, 2023 to Mar 19, 2024
- HNW RAUM · $80.8M to $57.9MJan 23, 2023 to Mar 19, 2024
- Individual RAUM · $39.2M to $68.4MJan 23, 2023 to Mar 19, 2024
- Pension RAUM · $26.2M to $31.1MJan 23, 2023 to Mar 19, 2024
- RAUM · $163M to $181MJan 23, 2023 to Mar 19, 2024
- Accounts · 596 to 609Feb 28, 2022 to Jan 23, 2023
- Charity clients · 3 to 2Feb 28, 2022 to Jan 23, 2023
- Corporate clients · 3 to 4Feb 28, 2022 to Jan 23, 2023
- HNW clients · 48 to 47Feb 28, 2022 to Jan 23, 2023
- Individual clients · 185 to 202Feb 28, 2022 to Jan 23, 2023
Signals
1 dated events
- P•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 12, 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
- Business phone
- 914-930-6871reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/P••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- P••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-930-6871reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- pratocapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pratocapital.com/meet-the-teamreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $74.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026