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••••• G••••• M••••••••• L•
Latest filing Jul 16, 2021
First filing on the tape Jul 20, 2018 · 7 filings
RAUM
$285M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$285M gross assets
History
7 filings and snapshots on the tape
RAUM$524M as of Mar 30, 2021
Mar 29, 2019$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 29, 20190 then
Employees (5.A)4 as of Mar 30, 2021
Mar 29, 20193 then
Private funds3 as of Mar 30, 2021
Mar 29, 20192 then
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2021; 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
- $31.7MderivedRAUM 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
- +42%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
- $285M, 9 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$285M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $285M for 9 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• G••••• M••••• F••• L• | Hedge Fund | $14.1M | 34 | Dec 13, 2018 |
| P••••• Z••• L• | Private Equity Fund | $9.6M | 12 | Jan 28, 2022 |
| P••••• J•••• L• | Private Equity Fund | $9.0M | 23 | Jul 16, 2021 |
| P••••• G••••• U• F••• I• L• | Hedge Fund | $7.6M | 9 | Dec 13, 2018 |
| P••••• G••••• S•••••• O••••••••• F••• I• L• | Private Equity Fund | $6.1M | 29 | Jul 16, 2021 |
| P••••• H••••• L• | Private Equity Fund | $2.0M | 3 | Jul 16, 2021 |
| P••••• G••••• S•••••• O••••••••• F••• I• L• | Private Equity Fund | $1.2M | 12 | Mar 30, 2021 |
| P••••• A••••• L• | Private Equity Fund | $179,075 | 13 | Jul 16, 2021 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• Z••••••• C•••• · Chief Compliance Officer, Portfolio Manager/Limited Partnercontrolsince 02/2018 · owns 75% or more
- M•••••• Z••••••• C•••• · Sole Owner/Managing Membercontrolsince 06/2018 · owns 75% or more of C••• L••
Entity owners
- C••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 9Mar 30, 2021 to Jul 16, 2021
- Pooled vehicle clients · 5 to 9Mar 30, 2021 to Jul 16, 2021
- Assets in custody · $524M to $285MMar 30, 2021 to Jul 16, 2021
- Employees · 4 to 3Mar 30, 2021 to Jul 16, 2021
- HQ city · NEW YORK to unsetMar 30, 2021 to Jul 16, 2021
- HQ state · NY to unsetMar 30, 2021 to Jul 16, 2021
- Private funds · 3 to 7Mar 30, 2021 to Jul 16, 2021
- Discretionary RAUM · $524M to $285MMar 30, 2021 to Jul 16, 2021
- Pooled vehicle RAUM · $524M to $285MMar 30, 2021 to Jul 16, 2021
- RAUM · $524M to $285MMar 30, 2021 to Jul 16, 2021
- Accounts · 4 to 5Oct 26, 2020 to Mar 30, 2021
- Advisory employees · 2 to 3Oct 26, 2020 to Mar 30, 2021
- Pooled vehicle clients · 4 to 5Oct 26, 2020 to Mar 30, 2021
- Assets in custody · $370M to $524MOct 26, 2020 to Mar 30, 2021
- Private funds · 2 to 3Oct 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $370M to $524MOct 26, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $370M to $524MOct 26, 2020 to Mar 30, 2021
- RAUM · $370M to $524MOct 26, 2020 to Mar 30, 2021
- Assets in custody · $253M to $370MMar 29, 2019 to Mar 27, 2020
- Employees · 3 to 4Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $253M to $370MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $253M to $370MMar 29, 2019 to Mar 27, 2020
- RAUM · $253M to $370MMar 29, 2019 to Mar 27, 2020
- Related adviser · true to falseMar 29, 2019 to Mar 27, 2020
- Advisory employees · 3 to 2Dec 13, 2018 to Mar 29, 2019
- Assets in custody · $219M to $253MDec 13, 2018 to Mar 29, 2019
- Employees · 4 to 3Dec 13, 2018 to Mar 29, 2019
- Discretionary RAUM · $219M to $253MDec 13, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $219M to $253MDec 13, 2018 to Mar 29, 2019
- RAUM · $219M to $253MDec 13, 2018 to Mar 29, 2019
- Accounts · unset to 4.0Jul 20, 2018 to Dec 13, 2018
- Advisory employees · 2 to 3Jul 20, 2018 to Dec 13, 2018
- Pooled vehicle clients · unset to 4.0Jul 20, 2018 to Dec 13, 2018
- Assets in custody · unset to 218691721.0Jul 20, 2018 to Dec 13, 2018
- Custody of client assets · false to trueJul 20, 2018 to Dec 13, 2018
- Employees · 3 to 4Jul 20, 2018 to Dec 13, 2018
- Private funds · unset to 2Jul 20, 2018 to Dec 13, 2018
- Discretionary RAUM · unset to 218691721.0Jul 20, 2018 to Dec 13, 2018
- Non-discretionary RAUM · unset to 0.0Jul 20, 2018 to Dec 13, 2018
- Pooled vehicle RAUM · unset to 218691721.0Jul 20, 2018 to Dec 13, 2018
Signals
7 dated events
- P••••• G••••• M••••••••• L• reported RAUM $285.2M, down 46% from $524.5M (2021-03-30 to 2021-07-16)Jul 16, 2021 · RAUM change · derived
- Scott Michael Weiss (Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer) no longer on Schedule A of P••••• G••••• M••••••••• L• (listed 2021-03-30, absent 2021-07-16)Jul 16, 2021 · Control person left · inference
- P••••• G••••• M••••••••• L• reported RAUM $524.5M, up 42% from $369.9M (2020-10-26 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Michael Gerard Falcone (Coo, Cfo, Cco) no longer on Schedule A of P••••• G••••• M••••••••• L• (listed 2020-03-27, absent 2020-10-26)Oct 26, 2020 · Control person left · inference
- Scott Michael Weiss (Chief Compliance Officer, Chief Operating Officer, Chief Financial Officer) appeared on Schedule A of P••••• G••••• M••••••••• L•Oct 26, 2020 · Control person joined · fact
- P••••• G••••• M••••••••• L• reported RAUM $369.9M, up 46% from $253.3M (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- P••••• G••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jul 20, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• G••••• M••••••••• L• · Private Equityshared crd · organization
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