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.
SEC-registered adviser
P•••••••• F••• M••••••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Oct 9, 2018 · 14 filings
SEC status approved since Nov 8, 2018
RAUM
$284M
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$284M as of Mar 30, 2026
Mar 30, 2019$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20190 then
Employees (5.A)10 as of Mar 30, 2026
Mar 30, 20195 then
Private funds15 as of Mar 30, 2026
Mar 30, 20195 then
RAUM -0.7% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $18.9MderivedRAUM 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
- -0.7%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
- $284M, 15 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- 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 hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$284M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M for 15 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• M••••••••• D••• O••••••••• F•••• L••• | Securitized Asset Fund | $49.0M | 44 | Sep 27, 2016 |
| P•••••••• V••• F••• I•• L• | Securitized Asset Fund | $45.3M | 5 | Mar 28, 2024 |
| P•••••••• •••• L•• | Securitized Asset Fund | $39.8M | 1 | Oct 9, 2018 |
| P••• O•••••• L••• | Securitized Asset Fund | $39.5M | 4 | Mar 31, 2022 |
| P•••••••• V••• F•••• L• | Securitized Asset Fund | $34.9M | 1 | Mar 31, 2022 |
| P•••••••• I••••••••• L•• | Securitized Asset Fund | $27.8M | 48 | Mar 31, 2021 |
| P•••••• I•• L•• | Securitized Asset Fund | $21.9M | 1 | Mar 31, 2021 |
| P•••••••• I••••••••• L•• | Securitized Asset Fund | $19.9M | 29 | Mar 31, 2020 |
| P•••••••• I••••••••• L•• | Securitized Asset Fund | $19.8M | 49 | Jun 25, 2020 |
| P••••• C••••••••• L•• | Securitized Asset Fund | $17.2M | 13 | Mar 30, 2023 |
| P••••••••• I••••••••• L•• | Securitized Asset Fund | $13.7M | 15 | Mar 28, 2024 |
| P••• K•••• I••••••••• L•• | Securitized Asset Fund | $4.1M | 10 | Mar 31, 2020 |
| P••• K•••• I••••••••• L•• | Securitized Asset Fund | $4.0M | 6 | Mar 30, 2019 |
| P•••••••• M••• •••• L•• | Securitized Asset Fund | $3.8M | 4 | Oct 9, 2018 |
| P•••••••• M••••••••• D••• O••••••••• F••• ••••••••• L••• | Securitized Asset Fund | $2.3M | 4 | Oct 9, 2018 |
| P••••• I• C••••••••• L•• | Securitized Asset Fund | $348,560 | 7 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• W•••• · Principalcontrolsince 09/2016 · owns 25% to 50%
- G••••••• B••••••• J••••••• · Chief Compliance Officercontrolsince 09/2016 · owns less than 5%
- K•••••• D••••• N••••••• · Principalcontrolsince 09/2016 · owns 25% to 50%
- W•••••• D••••• S•••••• · Principalcontrolsince 09/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
- F•••• C••• B••• O• C•••••••n
- P••• K•••• M••••••• L••pooled vehicle sponsorn
- P••• K•••• M••••••• L••pooled vehicle sponsorn
- P••• K••• M••••••• L••pooled vehicle sponsorn
- P•••••••• M••••••• L••pooled vehicle sponsorn
- P•••••••• M••••••• L••pooled vehicle sponsorn
- P••••• C•••••••• M••••••• L••pooled vehicle sponsorn
- P••••••••• G•• L••pooled vehicle sponsorn
- P•••••••• C•••••• P•••••••• L••investment companyn
- P•••••••• M••• G•• L••pooled vehicle sponsorn
- P•••••••• V••• G• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $286M to $284MMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $286M to $284MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $286M to $284MMar 27, 2025 to Mar 30, 2026
- RAUM · $286M to $284MMar 27, 2025 to Mar 30, 2026
- Accounts · 16 to 15Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 16 to 15Mar 28, 2024 to Mar 27, 2025
- Assets in custody · $343M to $286MMar 28, 2024 to Mar 27, 2025
- Employees · 9 to 10Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 27, 2025
- Private funds · 16 to 15Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $343M to $286MMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $343M to $286MMar 28, 2024 to Mar 27, 2025
- RAUM · $343M to $286MMar 28, 2024 to Mar 27, 2025
- Accounts · 14 to 16May 12, 2023 to Mar 28, 2024
- Pooled vehicle clients · 14 to 16May 12, 2023 to Mar 28, 2024
- Assets in custody · $322M to $343MMay 12, 2023 to Mar 28, 2024
- Private funds · 14 to 16May 12, 2023 to Mar 28, 2024
- Discretionary RAUM · $322M to $343MMay 12, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $322M to $343MMay 12, 2023 to Mar 28, 2024
- RAUM · $322M to $343MMay 12, 2023 to Mar 28, 2024
- Assets in custody · $323M to $322MMar 30, 2023 to May 12, 2023
- Discretionary RAUM · $323M to $322MMar 30, 2023 to May 12, 2023
- Pooled vehicle RAUM · $323M to $322MMar 30, 2023 to May 12, 2023
- RAUM · $323M to $322MMar 30, 2023 to May 12, 2023
- Accounts · 12 to 14Apr 29, 2022 to Mar 30, 2023
- Pooled vehicle clients · 12 to 14Apr 29, 2022 to Mar 30, 2023
- Assets in custody · $325M to $323MApr 29, 2022 to Mar 30, 2023
- Employees · 6 to 9Apr 29, 2022 to Mar 30, 2023
- Private funds · 13 to 14Apr 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $325M to $323MApr 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $325M to $323MApr 29, 2022 to Mar 30, 2023
- RAUM · $325M to $323MApr 29, 2022 to Mar 30, 2023
- Assets in custody · $325M to $325MMar 31, 2022 to Apr 29, 2022
- Discretionary RAUM · $325M to $325MMar 31, 2022 to Apr 29, 2022
- Pooled vehicle RAUM · $325M to $325MMar 31, 2022 to Apr 29, 2022
- RAUM · $325M to $325MMar 31, 2022 to Apr 29, 2022
- Accounts · 10 to 12Jan 4, 2022 to Mar 31, 2022
- Pooled vehicle clients · 10 to 12Jan 4, 2022 to Mar 31, 2022
- Assets in custody · $305M to $325MJan 4, 2022 to Mar 31, 2022
- Employees · 5 to 6Jan 4, 2022 to Mar 31, 2022
Signals
1 dated events
- P•••••••• F••• M••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Oct 9, 2018 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 561-653-9332reportedpublic record, Form ADV, Mar 30, 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