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•••• L••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Jun 1, 2018 · 14 filings
SEC status approved since Jun 29, 2018
RAUM
$745M
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
15
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$745M as of Mar 31, 2026
Mar 18, 2019$357M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 18, 20190 then
Employees (5.A)15 as of Mar 31, 2026
Mar 18, 201913 then
Private funds2 as of Mar 31, 2026
Mar 18, 20192 then
RAUM +1.0% over the last fiscal year+4.3% 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
- $186MderivedRAUM 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
- +1.0%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
- $745M, 4 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)
- 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
- Pooled investment vehicles$745M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $745M for 4 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• L••• O••••••••• E•• M••••• F••• L• | Hedge Fund | $441M | 54 | Jun 1, 2018 |
| P•••• L••• O••••••••• N•••••• M••••• F••• L• | Hedge Fund | $343M | 53 | Jun 1, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• A••••• · Chief Compliance Officer / Chief Financial Officercontrolsince 05/2018 · owns less than 5%
- L••••• M••••••• B• · Ceo / President / Limited Partnercontrolsince 05/2018 · owns 75% or more
- L••••• M••••••• B• · Managing Membercontrolsince 05/2018 · owns 75% or more of P•••• L••• L••
Entity owners
- P•••• L••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P•••• L••• C•••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Fort Myers, FL3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 31, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-26, no on the filing of 2026-03-31peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Advisory employees · 12 to 11Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $737M to $745MMar 26, 2025 to Mar 31, 2026
- Employees · 16 to 15Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $737M to $745MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $737M to $745MMar 26, 2025 to Mar 31, 2026
- RAUM · $737M to $745MMar 26, 2025 to Mar 31, 2026
- Related bank · true to falseMar 26, 2025 to Mar 31, 2026
- Assets in custody · $784M to $737MMar 22, 2024 to Mar 26, 2025
- Employees · 17 to 16Mar 22, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $784M to $737MMar 22, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $784M to $737MMar 22, 2024 to Mar 26, 2025
- RAUM · $784M to $737MMar 22, 2024 to Mar 26, 2025
- Advisory employees · 11 to 12Mar 17, 2023 to Mar 22, 2024
- Assets in custody · $656M to $784MMar 17, 2023 to Mar 22, 2024
- Employees · 14 to 17Mar 17, 2023 to Mar 22, 2024
- Discretionary RAUM · $656M to $784MMar 17, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $656M to $784MMar 17, 2023 to Mar 22, 2024
- RAUM · $656M to $784MMar 17, 2023 to Mar 22, 2024
- Advisory employees · 8 to 11Mar 29, 2022 to Mar 17, 2023
- Assets in custody · $679M to $656MMar 29, 2022 to Mar 17, 2023
- Employees · 12 to 14Mar 29, 2022 to Mar 17, 2023
- Discretionary RAUM · $679M to $656MMar 29, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $679M to $656MMar 29, 2022 to Mar 17, 2023
- RAUM · $679M to $656MMar 29, 2022 to Mar 17, 2023
- Advisory employees · 9 to 8Oct 6, 2021 to Mar 29, 2022
- Assets in custody · $538M to $679MOct 6, 2021 to Mar 29, 2022
- Employees · 13 to 12Oct 6, 2021 to Mar 29, 2022
- Discretionary RAUM · $538M to $679MOct 6, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $538M to $679MOct 6, 2021 to Mar 29, 2022
- RAUM · $538M to $679MOct 6, 2021 to Mar 29, 2022
- Other offices · 0 to 1Mar 26, 2021 to Oct 6, 2021
- Advisory employees · 11 to 9May 5, 2020 to Mar 26, 2021
- Assets in custody · $403M to $538MMay 5, 2020 to Mar 26, 2021
- Employees · 15 to 13May 5, 2020 to Mar 26, 2021
- Discretionary RAUM · $403M to $538MMay 5, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $403M to $538MMay 5, 2020 to Mar 26, 2021
- RAUM · $403M to $538MMay 5, 2020 to Mar 26, 2021
- Assets in custody · $437M to $403MMar 23, 2020 to May 5, 2020
- Discretionary RAUM · $437M to $403MMar 23, 2020 to May 5, 2020
Signals
3 dated events
- P•••• L••• C•••••• M••••••••• L• reported RAUM $679.0M, up 26% from $538.1M (2021-10-06 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- P•••• L••• C•••••• M••••••••• L• reported RAUM $538.1M, up 33% from $403.4M (2020-05-05 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- P•••• L••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 1, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/piney-lake-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-307-5900reportedpublic 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