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••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2023 · 13 filings
SEC status approved since May 1, 2023
RAUM
$72.6M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$72.6M as of Mar 27, 2026
May 3, 2023$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
May 3, 20230 then
Employees (5.A)4 as of Mar 27, 2026
May 3, 20237 then
Private funds3 as of Mar 27, 2026
May 3, 20233 then
RAUM -57% over the last fiscal year-22% 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
- $14.5MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -57%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
- $72.5M, 5 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$72.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $72.5M for 5 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• S••• H••••••• L• | Private Equity Fund | $79.2M | 20 | Mar 1, 2022 |
| P••••••• K•••• H•••••••• L• | Private Equity Fund | $63.5M | 27 | Aug 16, 2020 |
| P••• H••••••• L•• | Other Private Fund | $275,000 | 25 | May 3, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M••••• S••••••• N•• · Managing Partnercontrolsince 11/2017 · owns less than 5%
- P••••• A•••• J•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- M••••• K••••• P••••••• · Trusteecontrolsince 07/2017 · owns F of M•••• F••••• T••••
- M••••• S••••••• N•• · Membercontrolsince 07/2017 · owns 75% or more of P••••••• C•••••• G•• L••
- M••••• S••••••• N•• · Membercontrolsince 07/2017 · owns 50% to 75% of S••• L••
Entity owners
- P••••••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
- S••• L•• · Limited Partnerdirect · owns 75% or more
- M•••• F••••• T•••• · Memberindirect · owns 25% to 50% of S••• L••
Related persons
Schedule D 7.A
- P••••••• K•••• H••••••• G•• L••pooled vehicle sponsorn
- P••••••• S••• H••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 5Mar 21, 2025 to Mar 27, 2026
- Pooled vehicle clients · 3 to 5Mar 21, 2025 to Mar 27, 2026
- Assets in custody · $170M to $72.5MMar 21, 2025 to Mar 27, 2026
- Financial planning clients · 0 to Mar 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $170M to $72.6MMar 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $170M to $72.6MMar 21, 2025 to Mar 27, 2026
- RAUM · $170M to $72.6MMar 21, 2025 to Mar 27, 2026
- Accounts · 2 to 3Jul 31, 2024 to Mar 21, 2025
- Advisory employees · 5 to 4Jul 31, 2024 to Mar 21, 2025
- Pooled vehicle clients · 2 to 3Jul 31, 2024 to Mar 21, 2025
- Assets in custody · $143M to $170MJul 31, 2024 to Mar 21, 2025
- Employees · 6 to 4Jul 31, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 0Jul 31, 2024 to Mar 21, 2025
- Private funds · 2 to 3Jul 31, 2024 to Mar 21, 2025
- Discretionary RAUM · $143M to $170MJul 31, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $143M to $170MJul 31, 2024 to Mar 21, 2025
- RAUM · $143M to $170MJul 31, 2024 to Mar 21, 2025
- Assets in custody · unset to 142730996.0Apr 1, 2024 to Jul 31, 2024
- Custody of client assets · false to trueApr 1, 2024 to Jul 31, 2024
- Accounts · 3 to 2Feb 1, 2024 to Apr 1, 2024
- Advisory employees · 6 to 5Feb 1, 2024 to Apr 1, 2024
- Pooled vehicle clients · 3 to 2Feb 1, 2024 to Apr 1, 2024
- Employees · 7 to 6Feb 1, 2024 to Apr 1, 2024
- Private funds · 3 to 2Feb 1, 2024 to Apr 1, 2024
- Discretionary RAUM · $155M to $143MFeb 1, 2024 to Apr 1, 2024
- Pooled vehicle RAUM · $155M to $143MFeb 1, 2024 to Apr 1, 2024
- RAUM · $155M to $143MFeb 1, 2024 to Apr 1, 2024
- Assets in custody · 154967243.0 to unsetOct 23, 2023 to Jan 22, 2024
- Custody of client assets · true to falseOct 23, 2023 to Jan 22, 2024
- Private funds · 2 to 3Apr 7, 2023 to May 3, 2023
- Discretionary RAUM · $0 to $155MApr 7, 2023 to May 3, 2023
- Non-discretionary RAUM · $155M to $0Apr 7, 2023 to May 3, 2023
- Private funds · 4 to 2Mar 30, 2023 to Apr 6, 2023
Signals
4 dated events
- E••••• T••• N••• (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of P••••••• C••••••• L• (listed 2024-04-01, absent 2024-07-31)Jul 31, 2024 · Control person left · inference
- James Adam Paley (Chief Financial Officer And Chief Compliance Officer) appeared on Schedule A of P••••••• C••••••• L•Jul 31, 2024 · Control person joined · fact
- P••••••• K•••• M•••• (Trustee) appeared on Schedule A of P••••••• C••••••• L•Feb 1, 2024 · Control person joined · fact
- P••••••• C••••••• L• filed its initial SEC registration (Form ADV)Mar 30, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C••••••• L• · Independent Sponsorsshared crd · capital_provider
- P••••••• C••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- periphascapital.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-876-6351reportedpublic 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