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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•••••• C•••••• A••••••• L••
Latest filing Mar 19, 2021
First filing on the tape Feb 10, 2020 · 4 filings
RAUM
$128M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
11%
$13.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$128M as of Mar 19, 2021
Feb 27, 2020$104M then
HNW client RAUM$1.4M as of Mar 19, 2021
Feb 27, 2020$2.3M then
State-registered IARs (5.B.3)2 as of Mar 19, 2021
Feb 27, 20202 then
Employees (5.A)2 as of Mar 19, 2021
Feb 27, 20202 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2021; every figure names its basis
- RAUM per advisor
- $64.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 89%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +54%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$114M89%
- Individuals$12.4M9.7%
- High-net-worth individuals$1.4M1.1%
- Individual clients
- 40reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 49reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- G•••••• L••• M••••• to I••••••• A••••••• S•••••••• L••May 14, 2021 · Other
- J•••••• S••••••• to E•••••• A••••••• G••••• L••Oct 15, 2019 · Other
- F••••• E• C•••••• B••••• to C•••••••• G••••• M•••••• I•••Dec 10, 2018 · Other
- C••••••• L••• to M•• I•••••••• S•••••••• L••Oct 8, 2018 · Other
Joined, latest
- J•••••• S••••••• from A••••••• A•••• M••••••••• I•••Sep 10, 2018 · Other
- C••••••• L••• from C••• A••••••• L••Apr 5, 2018 · Other
- G•••••• L••• M••••• from R•••••• J•••• • A••••••••• I•••Apr 5, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• E•••••• · Chief Executive Officer/Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- C••••••• L•••••••• L•••••• · Membercontrolsince 11/2017 · owns 25% to 50%
- F•••••• J•••• · Membercontrolsince 11/2017 · owns 25% to 50%
- M•••••• G••••••• L••• · Managercontrolsince 11/2017 · owns less than 5%
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 · 31 to 49Jun 19, 2020 to Mar 19, 2021
- Individual clients · 26 to 40Jun 19, 2020 to Mar 19, 2021
- Discretionary RAUM · $94.0M to $114MJun 19, 2020 to Mar 19, 2021
- HNW RAUM · $2.3M to $1.4MJun 19, 2020 to Mar 19, 2021
- Individual RAUM · $6.3M to $12.4MJun 19, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $9.8M to $13.8MJun 19, 2020 to Mar 19, 2021
- RAUM · $104M to $128MJun 19, 2020 to Mar 19, 2021
Signals
1 dated events
- P•••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2020 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026