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••••• P••••••• L••
Latest filing Jun 25, 2021
First filing on the tape Jul 27, 2018 · 4 filings
RAUM
$57.2M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$24.1M gross assets
History
4 filings and snapshots on the tape
RAUM$57.2M as of Jun 25, 2021
Jul 27, 2018$67.7M then
HNW client RAUM$0 as of Sep 12, 2018
Jul 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 25, 2021
Jul 27, 20180 then
Employees (5.A)7 as of Jun 25, 2021
Jul 27, 20188 then
Private funds1 as of Jun 25, 2021
Jul 27, 20181 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 25, 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
- $28.6MderivedRAUM 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
- 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$33.1M58%
- Pooled investment vehicles$24.1M42%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J••••• A••• · General Counsel And Ccocontrolsince 07/2014 · owns less than 5%
- N••••• J••••••• · Designated Membercontrolsince 02/2014 · owns less than 5%
- P••••• R•••• · Head Of Operationscontrolsince 03/2015 · owns less than 5%
- R••••••••• T•••••• E••• · Designated Membercontrolsince 02/2014 · owns less than 5%
Entity owners
- C• P••••••• S••••••• ••• L•••••• · Designated Memberdirect · owns 75% or more
- D•••• H••••••• L•••••• · Shareholder Of D•••• I••••••••• L••••••indirect · owns 75% or more of D•••• I••••••••• L••••••
- D•••• I••••••••• L•••••• · Shareholder Of C• P••••••• S••••••• ••• L••••••indirect · owns 50% to 75% of C• P••••••• S••••••• ••• L••••••
- N••••••• L•••• C•••••• L•••••• · Shareholder Of C• P••••••• S••••••• ••• L••••••indirect · owns 50% to 75% of C• P••••••• S••••••• ••• L••••••
- N••••••• L•••• H••••••• L•••••• · Shareholder Of N••••••• L•••• C•••••• L••••••indirect · owns 75% or more of N••••••• L•••• C•••••• L••••••
- V• C•••••••• T•••••• L•••••• · T•••••• Of The R•••••••• 2011 Settlementindirect · owns F of N••••••• L•••• H••••••• L••••••
- V• H•••••• L•••••• · Shareholder Of V• T•••• A•• C•••••••• S••••••• L••••••indirect · owns 75% or more of V• T•••• A•• C•••••••• S••••••• L••••••
- V• T•••• A•• C•••••••• S••••••• L•••••• · Shareholder Of V• C•••••••• T•••••• L••••••indirect · owns 75% or more of V• C•••••••• T•••••• L••••••
Related persons
Schedule D 7.A
- H••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $255M
- P••••• P••••••• M••••••••• L••••••investment adviserbankn
Advisers that list P••••• P••••••• L•• as a related person
- 284651 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $54.5M to $57.2MFeb 10, 2021 to Jun 25, 2021
- Pooled vehicle RAUM · $21.8M to $24.1MFeb 10, 2021 to Jun 25, 2021
- RAUM · $54.5M to $57.2MFeb 10, 2021 to Jun 25, 2021
- Accounts · 3 to 2Sep 12, 2018 to Feb 10, 2021
- Pooled vehicle clients · 5 to 1Sep 12, 2018 to Feb 10, 2021
- Employees · 8 to 7Sep 12, 2018 to Feb 10, 2021
- Discretionary RAUM · $67.7M to $54.5MSep 12, 2018 to Feb 10, 2021
- HNW RAUM · 0.0 to unsetSep 12, 2018 to Feb 10, 2021
- Individual RAUM · 0.0 to unsetSep 12, 2018 to Feb 10, 2021
- Pooled vehicle RAUM · $14.1M to $21.8MSep 12, 2018 to Feb 10, 2021
- RAUM · $67.7M to $54.5MSep 12, 2018 to Feb 10, 2021
Signals
1 dated events
- P••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 27, 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