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••••• H•••••• L••
Latest filing Jul 17, 2026
First filing on the tape Nov 13, 2017 · 27 filings
SEC status approved since Feb 12, 2019
RAUM
$6.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$6.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
68
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$6.9B as of Jul 17, 2026
Mar 30, 2020$199M then
HNW client RAUM$6.7B as of Jul 17, 2026
Mar 30, 2020$82.8M then
State-registered IARs (5.B.3)1 as of Jul 17, 2026
Mar 30, 20200 then
Employees (5.A)68 as of Jul 17, 2026
Mar 30, 20208 then
Private funds: no history
RAUM +28% over the last fiscal year+43% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $6.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8,531derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $784,602derivedHNW RAUM over HNW clients
- Average account
- $793,192derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 68.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.7B97%
- Corporations and businesses$209M3.0%
- Individual clients
- 0reported
- HNW clients
- 8,531reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8,702reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $6.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=11.0 bank_owner=falsederived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• C•••••• · Chief Legal Officercontrolsince 12/2021 · owns less than 5%
- D••••••• A•••••• J••• · Chief Compliance Officercontrolsince 09/2022 · owns less than 5%
- H••••• L•••• M•••• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- H••••••••• R•••••• C•••••• · Vice Presidentcontrolsince 12/2021 · owns less than 5%
- O••••• B••••••• G••••• · Chief Financial Officercontrolsince 12/2021 · owns less than 5%
- P•••••••• D••• · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- P•••••• S•••••• S•••••• · Chief Executive Officercontrolsince 12/2021 · owns less than 5%
- S•••••• J•••• R•••• · Managing Directorcontrolsince 12/2021 · owns less than 5%
Entity owners
- P••• H•••••• L•• · Sole Memberdirect · owns 75% or more
- P••• H•••••• C•••••• L•• · Parent Of Sole Memberindirect · owns 75% or more of P••• H•••••• L••
- P••••••••• F••••••••• I••• · Ownerindirect · owns 75% or more of P••• H•••••• C•••••• L•• · public reporting company
Related persons
Schedule D 7.A
- P••• D• S••••••••investment advisernRAUM $6.9B
- P••• I••••••••• L••investment adviserbanknRAUM $345B
- P••• Multi-Asset S•••••••• LLCinvestment advisernRAUM $26B
- P••• P•••••• P•••••••• I••••••••• L•••investment adviserpooled vehicle sponsornRAUM $24B
- P••• Q••••••••• S••••••••investment adviserbanknRAUM $111B
- P••• R••• E••••• A••••••• L••investment advisern
- P•••• I•••investment adviserbankpooled vehicle sponsornRAUM $1132B
- P•••• L••• I•••••••• C••••••real estaten
- P•••• L••• I•••••••• C•••••• O• N•• J•••••real estaten
- P•••• S••••••••• L••broker-dealerinvestment advisern
- P••••••••• A•••••••• D••••••••• I••broker-dealern
- P••••••••• I••••••••• M••••••••• S••••••• L••broker-dealern
- P••••••••• T•••• C••••••bankn
- T•• P••••••••• I•••••••• C•••••• O• A••••••investment adviserreal estatenRAUM $251M
Advisers that list P••• C••••• H•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026P•••••••• D••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2023-03-27 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 17, 2026D••••••• A•••••• J••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2023-03-27 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 17, 2026H••••••••• R•••••• C•••••• (VICE PRESIDENT) left Schedule A between the filings of 2023-03-27 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 6,171 to 8,702Dec 1, 2025 to Mar 27, 2026
- Advisory employees · 10 to 9Dec 1, 2025 to Mar 27, 2026
- BD registered reps · 20 to 11Dec 1, 2025 to Mar 27, 2026
- Corporate clients · 154 to 171Dec 1, 2025 to Mar 27, 2026
- HNW clients · 6,017 to 8,531Dec 1, 2025 to Mar 27, 2026
- Employees · 71 to 68Dec 1, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 1Dec 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $5.4B to $6.9BDec 1, 2025 to Mar 27, 2026
- HNW RAUM · $5.2B to $6.7BDec 1, 2025 to Mar 27, 2026
- RAUM · $5.4B to $6.9BDec 1, 2025 to Mar 27, 2026
- Wrap assets (manager) · $5.4B to $6.2BDec 1, 2025 to Mar 27, 2026
- Accounts · 2,850 to 6,171May 3, 2024 to Mar 28, 2025
- Advisory employees · 6 to 10May 3, 2024 to Mar 28, 2025
- BD registered reps · 15 to 20May 3, 2024 to Mar 28, 2025
- Corporate clients · 184 to 154May 3, 2024 to Mar 28, 2025
- HNW clients · 2,666 to 6,017May 3, 2024 to Mar 28, 2025
- Employees · 60 to 71May 3, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 3, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.6B to $5.4BMay 3, 2024 to Mar 28, 2025
- HNW RAUM · $3.4B to $5.2BMay 3, 2024 to Mar 28, 2025
- RAUM · $3.6B to $5.4BMay 3, 2024 to Mar 28, 2025
- Wrap assets (manager) · $3.6B to $5.4BMay 3, 2024 to Mar 28, 2025
- Accounts · 1,081 to 2,850Mar 27, 2023 to Mar 26, 2024
- Advisory employees · 5 to 6Mar 27, 2023 to Mar 26, 2024
- BD registered reps · 6 to 15Mar 27, 2023 to Mar 26, 2024
- Corporate clients · 107 to 184Mar 27, 2023 to Mar 26, 2024
- HNW clients · 950 to 2,666Mar 27, 2023 to Mar 26, 2024
- Employees · 12 to 60Mar 27, 2023 to Mar 26, 2024
- State-registered IARs · 1 to 2Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.2B to $3.6BMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $2.1B to $3.4BMar 27, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $143M to $0Mar 27, 2023 to Mar 26, 2024
- RAUM · $2.4B to $3.6BMar 27, 2023 to Mar 26, 2024
- Wrap assets (manager) · $2.2B to $3.6BMar 27, 2023 to Mar 26, 2024
- Accounts · 609 to 1,081Oct 7, 2022 to Mar 27, 2023
- Advisory employees · 4 to 5Oct 7, 2022 to Mar 27, 2023
- BD registered reps · 0 to 6Oct 7, 2022 to Mar 27, 2023
- Charity clients · unset to 0.0Oct 7, 2022 to Mar 27, 2023
- Corporate clients · 42 to 107Oct 7, 2022 to Mar 27, 2023
- HNW clients · 541 to 950Oct 7, 2022 to Mar 27, 2023
Signals
24 dated events
- P••• C••••• H•••••• L•• reported RAUM $6.9B, up 28% from $5.4B (2025-12-01 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- P••• C••••• H•••••• L•• reported RAUM $5.4B, up 50% from $3.6B (2024-05-03 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Gerard Bernard Ohara (Executive Vicepresident, Chief Financial Officer & Controller) appeared on Schedule A of P••• C••••• H•••••• L••May 3, 2024 · Control person joined · fact
- P••• C••••• H•••••• L•• reported RAUM $3.6B, up 50% from $2.4B (2023-03-27 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Maria Lisa Hanes (Chief Operating Officer) appeared on Schedule A of P••• C••••• H•••••• L••Mar 27, 2023 · Control person joined · fact
- John Andrew Donohue (Chief Compliance Officer) appeared on Schedule A of P••• C••••• H•••••• L••Oct 7, 2022 · Control person joined · fact
- Isabelle Sajous (Chief Compliance Officer) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2022-04-28, absent 2022-10-07)Oct 7, 2022 · Control person left · inference
- M•••••• B•••• M••••• (Treasurer) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2022-03-24, absent 2022-04-28)Apr 28, 2022 · Control person left · inference
- Armando (Dino) Capasso (Chief Compliance Officer) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2022-03-24, absent 2022-04-28)Apr 28, 2022 · Control person left · inference
- Isabelle Sajous (Chief Compliance Officer) appeared on Schedule A of P••• C••••• H•••••• L••Apr 28, 2022 · Control person joined · fact
- P••• C••••• H•••••• L•• reported RAUM $2.3B, up 578% from $345.9M (2021-12-22 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- B•••• Jacobs (President And Director) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2021-03-26, absent 2021-12-22)Dec 22, 2021 · Control person left · inference
- Louis Gene Needles (Director) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2021-03-26, absent 2021-12-22)Dec 22, 2021 · Control person left · inference
- Roger Joel Sauber (Executive Vice President) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- Sherman Stuart Parker (Officer-In-Charge, Chief Executive Officer, Chief Operating Officer & President) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- M•••••• B•••• M••••• (Treasurer) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- Gerard Bernard Ohara (Executive Vice President, Chief Financial Officer & Controller) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- Armando (Dino) Capasso (Chief Compliance Officer) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- C•••••• D•••••••• (Chief Legal Officer, Executive Vice President, Secretary) appeared on Schedule A of P••• C••••• H•••••• L••Dec 22, 2021 · Control person joined · fact
- P••• C••••• H•••••• L•• reported RAUM $345.9M, up 73% from $199.5M (2020-07-09 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- B•••• Jacobs (President And Director) appeared on Schedule A of P••• C••••• H•••••• L••Jul 2, 2019 · Control person joined · fact
- Louis Gene Needles (Director) appeared on Schedule A of P••• C••••• H•••••• L••Jul 2, 2019 · Control person joined · fact
- George Solomon Teller (Chief Investment Officer) no longer on Schedule A of P••• C••••• H•••••• L•• (listed 2019-06-26, absent 2019-07-02)Jul 2, 2019 · Control person left · inference
- G•••• H•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 13, 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 email
- inquiries@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- alistair.kim@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- conor.dempsey@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cyrus.cottin@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- dennis.martin@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- eduard.wehry@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- elisa.moreno@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- haitham.haji@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ibtissem.sfaxi@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- james.schachtel@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mohammed.abdulmalek@pgim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- peter.gibson@pgim.comreportedpublished 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026