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• M••••••••• L••

Former SEC-registered adviserHouston, TexasCRD 293446SEC 801-112842IAPD
Latest filing Jun 10, 2020
First filing on the tape Mar 15, 2018 · 8 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 11, 2020
Mar 28, 2019$0 then
State-registered IARs (5.B.3)1 as of Mar 11, 2020
Mar 28, 20190 then
Employees (5.A)1 as of Mar 11, 2020
Mar 28, 20190 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 0 to 1offices 0 to 1
Practice profile
derived from the filing of Jun 10, 2020; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••••• E••••• P•••••••• P•••••••• R••••• F••• I• L•Other Private Fund$03Nov 18, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• V••••••• L•••• · Managing Member, Chief Operating Officer And Chief Compliance Officercontrol
        since 01/2018 · owns 25% to 50%
      • H•••••• P•••• J•••• · Managing Membercontrol
        since 01/2018 · owns 25% to 50%
      • J••••• C•••• M••• · Managing Membercontrol
        since 01/2018 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Freehold, NJ1 employees
      What changed
      consecutive filings, newest first
      • Accounts · unset to 0.0
        Apr 9, 2020 to Jun 10, 2020
      • Discretionary RAUM · unset to 0.0
        Apr 9, 2020 to Jun 10, 2020
      • Non-discretionary RAUM · unset to 0.0
        Apr 9, 2020 to Jun 10, 2020
      • RAUM · unset to 0.0
        Apr 9, 2020 to Jun 10, 2020
      • Other offices · 0 to 1
        Mar 11, 2020 to Mar 31, 2020
      • Advisory employees · 0 to 1
        Apr 18, 2019 to Nov 18, 2019
      • Advisory activities · 1 to 2
        Apr 18, 2019 to Nov 18, 2019
      • Assets in custody · unset to 0.0
        Apr 18, 2019 to Nov 18, 2019
      • Custody of client assets · false to true
        Apr 18, 2019 to Nov 18, 2019
      • Employees · 0 to 1
        Apr 18, 2019 to Nov 18, 2019
      • State-registered IARs · 0 to 1
        Apr 18, 2019 to Nov 18, 2019
      • Private funds · unset to 1
        Apr 18, 2019 to Nov 18, 2019
      • Accounts · 0.0 to unset
        Mar 15, 2018 to Mar 28, 2019
      • Discretionary RAUM · 0.0 to unset
        Mar 15, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Mar 15, 2018 to Mar 28, 2019
      • RAUM · 0.0 to unset
        Mar 15, 2018 to Mar 28, 2019
      Signals
      3 dated events
      • Deneen Janette Conradson (Managing Member) no longer on Schedule A of P• M••••••••• L•• (listed 2018-03-15, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Anderson Heidi Kuzma (Managing Member) no longer on Schedule A of P• M••••••••• L•• (listed 2018-03-15, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • P• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 15, 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.
      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