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
C••••••• C•••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 26, 2017 · 22 filings
SEC status approved since Jan 25, 2018
RAUM
$228M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$228M as of Mar 31, 2026
Mar 29, 2019$182M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 201911 then
Private funds2 as of Mar 31, 2026
Mar 29, 20191 then
RAUM -53% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $114MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -53%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, fixed fees, 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
- 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)
- 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$228M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••• C••••• I••••• P••••••• L•• | Other Private Fund | $140M | 119 | Nov 15, 2019 |
| P••• C••••• S•••••••• F•••••• F••• I• L• | Other Private Fund | $137M | 95 | Mar 31, 2022 |
| P••• C••••• S•••••••• F•••••• F••• L•no longer reported | Other Private Fund | $108M | 21 | Dec 26, 2017 |
| P••• C••••• E••••• P••••••• I•• | Private Equity Fund | $107M | 28 | Mar 29, 2024 |
| D•• R• B••••• L••no longer reported | Other Private Fund | $100M | 1 | Nov 15, 2019 |
| P••• C••••• I••••••••• F••• I• L•• | Other Private Fund | $25.1M | 1 | Mar 31, 2021 |
| P••• C••••• E••••• P••••••• V• L• | Private Equity Fund | $15.0M | 25 | Mar 29, 2024 |
| P••• C••••• E••••• P••••••• I• L• | Private Equity Fund | $6.8M | 10 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D••••• A••••••••• N••••••• · Managing Partnercontrolsince 06/2017 · owns less than 5%
- P••••• J••••••• L•• · Chief Compliance Officer And Director Of Operationscontrolsince 10/2023 · owns less than 5%
- R••••••• R••••••• L•••• · Chief Financial Officercontrolsince 10/2023 · owns less than 5%
- T•••••• J•••••••• A••••• · Managing Partner And Chief Investment Officercontrolsince 06/2017 · owns less than 5%
- D••••• A••••••••• N••••••• · Managing Partnercontrolsince 11/2017 · owns 50% to 75% of R••• H••••••• L••
- T•••••• J•••••••• A••••• · Managing Partner And Chief Compliance Officercontrolsince 11/2017 · owns 50% to 75% of R••• H••••••• L••
Entity owners
- P••• C••••• A•••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
- R••• H••••••• L•• · Managing Memberindirect · owns 75% or more of P••• C••••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
- P••• C••••• A•••• M••••••••• L••pooled vehicle sponsory
- P••• C••••• E••••• P••••••• I•• G• L••pooled vehicle sponsorn
- P••• C••••• E••••• P••••••• V• G• L••pooled vehicle sponsorn
- P••• C••••• L•••••• C•••n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 12.0 to 2.0 (-83.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was 0.0% (393 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 0.5% percentile
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $484,400,871 to $228,121,767 (-53.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 2.8% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $177M to $228MNov 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $177M to $228MNov 11, 2025 to Mar 31, 2026
- RAUM · $177M to $228MNov 11, 2025 to Mar 31, 2026
- Accounts · 5 to 2Mar 28, 2025 to Nov 11, 2025
- Advisory employees · 7 to 2Mar 28, 2025 to Nov 11, 2025
- Business name · P••• C••••• A••••••• L•• to C••••••• C•••••• A••••••• L••Mar 28, 2025 to Nov 11, 2025
- Pooled vehicle clients · 5 to 2Mar 28, 2025 to Nov 11, 2025
- Employees · 12 to 2Mar 28, 2025 to Nov 11, 2025
- Legal name · P••• C••••• A••••••• L•• to C••••••• C•••••• A••••••• L••Mar 28, 2025 to Nov 11, 2025
- Private funds · 5 to 2Mar 28, 2025 to Nov 11, 2025
- Discretionary RAUM · $484M to $177MMar 28, 2025 to Nov 11, 2025
- Pooled vehicle RAUM · $484M to $177MMar 28, 2025 to Nov 11, 2025
- RAUM · $484M to $177MMar 28, 2025 to Nov 11, 2025
- Accounts · 4 to 5Jun 17, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 5Jun 17, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 17, 2024 to Mar 28, 2025
- Private funds · 4 to 5Jun 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $398M to $484MJun 17, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $398M to $484MJun 17, 2024 to Mar 28, 2025
- RAUM · $398M to $484MJun 17, 2024 to Mar 28, 2025
- Advisory employees · 6 to 7Nov 6, 2023 to Mar 29, 2024
- Other offices · 0 to 1Nov 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $373M to $398MNov 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $373M to $398MNov 6, 2023 to Mar 29, 2024
- RAUM · $373M to $398MNov 6, 2023 to Mar 29, 2024
- Advisory employees · 5 to 6Jun 22, 2022 to Mar 31, 2023
- Employees · 9 to 12Jun 22, 2022 to Mar 31, 2023
- Discretionary RAUM · $393M to $373MJun 22, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $393M to $373MJun 22, 2022 to Mar 31, 2023
- RAUM · $393M to $373MJun 22, 2022 to Mar 31, 2023
- Advisory employees · 4 to 5Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $236M to $393MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $236M to $393MMar 31, 2021 to Mar 31, 2022
- RAUM · $236M to $393MMar 31, 2021 to Mar 31, 2022
- Accounts · 3 to 4Jun 18, 2020 to Mar 31, 2021
- Advisory employees · 5 to 4Jun 18, 2020 to Mar 31, 2021
- Pooled vehicle clients · 3 to 4Jun 18, 2020 to Mar 31, 2021
- Employees · 10 to 9Jun 18, 2020 to Mar 31, 2021
- Private funds · 3 to 4Jun 18, 2020 to Mar 31, 2021
- Discretionary RAUM · $176M to $236MJun 18, 2020 to Mar 31, 2021
Signals
8 dated events
- C••••••• C•••••• A••••••• L•• reported RAUM $176.5M, down 64% from $484.4M (2025-03-28 to 2025-11-11)Nov 11, 2025 · RAUM change · derived
- Christopher Adam Rice (Chief Financial Officer) no longer on Schedule A of C••••••• C•••••• A••••••• L•• (listed 2023-08-30, absent 2023-11-06)Nov 6, 2023 · Control person left · inference
- J•••••• Perno (Chief Compliance Officer And Director Of Operations) appeared on Schedule A of C••••••• C•••••• A••••••• L••Nov 6, 2023 · Control person joined · fact
- L•••• R•••••• R•••••• (Chief Financial Officer) appeared on Schedule A of C••••••• C•••••• A••••••• L••Nov 6, 2023 · Control person joined · fact
- Diane Kimberly Ricks (Director Of Compliance (Cco)) no longer on Schedule A of C••••••• C•••••• A••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- C••••••• C•••••• A••••••• L•• reported RAUM $393.5M, up 66% from $236.5M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Christopher Adam Rice (Chief Financial Officer) appeared on Schedule A of C••••••• C•••••• A••••••• L••Jan 27, 2020 · Control person joined · fact
- R••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 26, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• C•••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• C••••• A••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 469-249-1000reportedpublic record, Form ADV, Mar 31, 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