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Former SEC-registered adviser

P•••• C•••••• ••••••• S••

Former SEC-registered adviserParis, CRD 298323SEC 801-114132IAPD
Latest filing Oct 8, 2018
First filing on the tape Sep 14, 2018 · 3 filings
RAUM
$33.0M
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
4
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
$33.0M gross assets
History
3 filings and snapshots on the tape
RAUM$33.0M as of Oct 8, 2018
Sep 14, 2018$33.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 8, 2018
Sep 14, 20180 then
Employees (5.A)4 as of Oct 8, 2018
Sep 14, 20184 then
Private funds2 as of Oct 8, 2018
Sep 14, 20182 then
Practice profile
derived from the filing of Oct 8, 2018; 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
$16.5MderivedRAUM 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
unknownderived4 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 vehiclesreportedItem 5.G
Custody
$33.0M, 2 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$33.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$33.0M for 2 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• K•••••• J•••••••• · Vice Presidentcontrol
        since 08/2018 · owns less than 5%
      • G•••••• M••••••• W••••• · President And Chief Compliance Officercontrol
        since 08/2018 · owns less than 5%
      • P•••• S•• H•••• · Vice Presedentcontrol
        since 08/2018 · owns less than 5%
      Entity owners
      • P•••• C•••••• P••••••• ••••••• L•••••• · Owner
        direct · owns 75% or more
      • P•••• C•••••• H••••••• P•• · Owner
        indirect · owns 75% or more of P•••• C•••••• P••••••• L••••••
      • P•••• C•••••• P••••••• L•••••• · Owner
        indirect · owns 75% or more of P•••• C•••••• P••••••• ••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list P•••• C•••••• ••••••• S•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • P•••• C•••••• ••••••• S•• filed its initial SEC registration (Form ADV)
        Sep 14, 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