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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Former SEC-registered adviser

P••••••••• I••••••••• A••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 291229SEC 801-112947IAPD
Latest filing Jul 16, 2019
First filing on the tape Mar 26, 2018 · 10 filings
RAUM
$25.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$25.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$25.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$25.1M as of Jul 16, 2019
Mar 26, 2018$0 then
HNW client RAUM$10.5M as of Jul 16, 2019
Mar 25, 2019$10.5M then
State-registered IARs (5.B.3)1 as of Jul 16, 2019
Mar 26, 20181 then
Employees (5.A)1 as of Jul 16, 2019
Mar 26, 20181 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 2019; every figure names its basis
RAUM per advisor
$25.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$329,845derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$14.6M58%
  • High-net-worth individuals$10.5M42%
Individual clients
35reported
HNW clients
9reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
76reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $25.1M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••• J••••• D••••Greenwich, CtMay 4, 201818 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• C••••••• J••••• · Managing Member & Chief Compliance Officercontrol
      since 11/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 76
      Nov 30, 2018 to Mar 25, 2019
    • Charity clients · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • Corporate clients · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • HNW clients · unset to 9.0
      Nov 30, 2018 to Mar 25, 2019
    • Individual clients · unset to 35.0
      Nov 30, 2018 to Mar 25, 2019
    • Pension plan clients · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • Pooled vehicle clients · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • Discretionary RAUM · $0 to $25.1M
      Nov 30, 2018 to Mar 25, 2019
    • HNW RAUM · unset to 10517294.0
      Nov 30, 2018 to Mar 25, 2019
    • Individual RAUM · unset to 14550890.0
      Nov 30, 2018 to Mar 25, 2019
    • Pension RAUM · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Nov 30, 2018 to Mar 25, 2019
    • RAUM · $0 to $25.1M
      Nov 30, 2018 to Mar 25, 2019
    • Wrap assets (manager) · $1 to $25.1M
      Nov 30, 2018 to Mar 25, 2019
    • Wrap assets (sponsor) · $1 to $0
      Nov 30, 2018 to Mar 25, 2019
    Signals
    1 dated events
    • P••••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Mar 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.
    How to reach
    public business contact points only, each with its source
    Website
    prometheus-investments.comreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $25.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026