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••••••
Legal name P••••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 17, 2021 · 12 filings
SEC status approved since Apr 19, 2021
RAUM
$621M
reported, Item 5.F
Discretionary
85%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$621M as of Mar 27, 2026
Mar 25, 2022$282M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 25, 20220 then
Employees (5.A)4 as of Mar 27, 2026
Mar 25, 20225 then
Private funds10 as of Mar 27, 2026
Mar 25, 20228 then
RAUM +24% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $44.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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-based, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$621M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• C•••••• H•••••• L•• | Private Equity Fund | $142M | 5 | Mar 25, 2022 |
| P••••••••• C•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $68.1M | 63 | Mar 30, 2020 |
| P••••••••• C•••••• O••••••••• F••• I•• L••• | Private Equity Fund | $65.8M | 44 | Mar 21, 2023 |
| P••••••••• C•••••• O••••••••• F••• I••• L••• | Private Equity Fund | $43.1M | 29 | Mar 17, 2021 |
| P••••••••• C•••••• O••••••••• F••• I• L••• | Private Equity Fund | $15.1M | 40 | Jan 15, 2019 |
| P••••••••• S••••• L••no longer reported | Private Equity Fund | $10.0M | 8 | Mar 25, 2022 |
| P••••••••• V•••• C••••••••• I•• L••no longer reported | Private Equity Fund | $9.0M | 6 | Mar 30, 2020 |
| P••••••••• C••••••••• C••••••••• L••• | Private Equity Fund | $8.3M | 5 | Mar 25, 2022 |
| P••••••••• D•••••• C••••••••• L••• | Private Equity Fund | $4.2M | 6 | Jan 15, 2019 |
| P••••••••• R••• C••••••••• L•• | Private Equity Fund | $603,596 | 4 | Jan 15, 2019 |
Owners and control persons
Schedule A and B, latest filing
- L••• J•••••••• A••••• · Cio / Managing Member / Chief Compliance Officercontrolsince 02/2017 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••••• C•••••• O••••••••• F••• I• G•••• L•••pooled vehicle sponsorn
- P••••••••• C•••••• O••••••••• F••• I•• G•••• L•••pooled vehicle sponsorn
- P••••••••• C•••••• O••••••••• F••• I••• G•••• L•••pooled vehicle sponsorn
- P••••••••• C•••••• O••••••••• F••• I•• G•••• L•••pooled vehicle sponsorn
- P••••••••• C••••••••• C••••••••• G•••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 12 to 14Feb 27, 2026 to Mar 27, 2026
- Advisory employees · 1 to 2Feb 27, 2026 to Mar 27, 2026
- Pooled vehicle clients · 12 to 14Feb 27, 2026 to Mar 27, 2026
- Employees · 2 to 4Feb 27, 2026 to Mar 27, 2026
- Private funds · 9 to 10Feb 27, 2026 to Mar 27, 2026
- Discretionary RAUM · $373M to $526MFeb 27, 2026 to Mar 27, 2026
- Non-discretionary RAUM · $127M to $95.3MFeb 27, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $500M to $621MFeb 27, 2026 to Mar 27, 2026
- RAUM · $500M to $621MFeb 27, 2026 to Mar 27, 2026
- Accounts · 10 to 12Jan 7, 2025 to Mar 31, 2025
- Advisory employees · 3 to 1Jan 7, 2025 to Mar 31, 2025
- Pooled vehicle clients · 10 to 12Jan 7, 2025 to Mar 31, 2025
- Employees · 4 to 2Jan 7, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 7, 2025 to Mar 31, 2025
- Private funds · 8 to 9Jan 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $295M to $373MJan 7, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $93.7M to $127MJan 7, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $389M to $500MJan 7, 2025 to Mar 31, 2025
- RAUM · $389M to $500MJan 7, 2025 to Mar 31, 2025
- HQ city · NEW YORK to LOS ANGELESOct 1, 2024 to Dec 4, 2024
- HQ state · NY to CAOct 1, 2024 to Dec 4, 2024
- Advisory employees · 4 to 3Mar 21, 2023 to Mar 24, 2024
- Employees · 5 to 4Mar 21, 2023 to Mar 24, 2024
- Discretionary RAUM · $261M to $295MMar 21, 2023 to Mar 24, 2024
- Non-discretionary RAUM · $106M to $93.7MMar 21, 2023 to Mar 24, 2024
- Pooled vehicle RAUM · $367M to $389MMar 21, 2023 to Mar 24, 2024
- RAUM · $367M to $389MMar 21, 2023 to Mar 24, 2024
- Advisory employees · 5 to 4Apr 13, 2022 to Mar 21, 2023
- Discretionary RAUM · $173M to $261MApr 13, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $110M to $106MApr 13, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $282M to $367MApr 13, 2022 to Mar 21, 2023
- RAUM · $282M to $367MApr 13, 2022 to Mar 21, 2023
- Accounts · 8 to 10Mar 19, 2021 to Mar 25, 2022
- Advisory employees · 4 to 5Mar 19, 2021 to Mar 25, 2022
- Pooled vehicle clients · 8 to 10Mar 19, 2021 to Mar 25, 2022
- Employees · 4 to 5Mar 19, 2021 to Mar 25, 2022
- Private funds · 6 to 8Mar 19, 2021 to Mar 25, 2022
- Discretionary RAUM · $180M to $173MMar 19, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $106M to $110MMar 19, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $286M to $282MMar 19, 2021 to Mar 25, 2022
Signals
7 dated events
- P••••••••• C•••••• reported RAUM $499.5M, up 28% from $389.1M (2025-01-07 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- R••••••••• S•••• S•••• (General Counsel) no longer on Schedule A of P••••••••• C•••••• (listed 2024-03-24, absent 2024-10-01)Oct 1, 2024 · Control person left · inference
- Douglas Harrison Hsueh (Chief Compliance Officer) no longer on Schedule A of P••••••••• C•••••• (listed 2024-03-24, absent 2024-10-01)Oct 1, 2024 · Control person left · inference
- Douglas Harrison Hsueh (Chief Compliance Officer) appeared on Schedule A of P••••••••• C••••••Mar 24, 2024 · Control person joined · fact
- R••••••••• S•••• S•••• (Chief Compliance Officer) appeared on Schedule A of P••••••••• C••••••Mar 25, 2022 · Control person joined · fact
- Douglas Harrison Hsueh (Chief Compliance Officer) no longer on Schedule A of P••••••••• C•••••• (listed 2021-03-19, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- P••••••••• C•••••• filed its initial SEC registration (Form ADV)Mar 17, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- P••••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/parallaxes-capital/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- parallaxescapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 217-255-3906reportedpublic record, Form ADV, Mar 27, 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