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Former SEC-registered adviser

P••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 298368SEC 801-114025IAPD
Legal name P••••• C•••••• L••
Latest filing May 1, 2023
First filing on the tape Aug 22, 2018 · 8 filings
RAUM
$111M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.8M gross assets
History
8 filings and snapshots on the tape
RAUM$111M as of Mar 31, 2023
Mar 20, 2019$45.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 20, 20190 then
Employees (5.A)2 as of Mar 31, 2023
Mar 20, 20193 then
Private funds1 as of Mar 31, 2023
Mar 20, 20191 then
RAUM -17% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2023; 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
$37.0MderivedRAUM 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
-17%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 businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
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)
  • 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$21.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• H••••••••• V•••• L••• O••• F••• L•Hedge Fund$21.8M31Aug 22, 2018
      P••••• H••••••••• V•••• F••• L•no longer reportedHedge Fund$4.1M14Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• J••••••• S•••• · Chief Compliance Officer, Managing Membercontrol
        since 07/2018 · owns 50% to 75%
      • S•••••• Z••••••• S••• · Managing Membercontrol
        since 07/2018 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • P••••• L••• O••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $133M to $111M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $26.3M to $21.8M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $133M to $111M
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · 16333463.0 to unset
        Mar 24, 2021 to Mar 31, 2022
      • Custody of client assets · true to false
        Mar 24, 2021 to Mar 31, 2022
      • Discretionary RAUM · $96.4M to $133M
        Mar 24, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $16.3M to $26.3M
        Mar 24, 2021 to Mar 31, 2022
      • RAUM · $96.4M to $133M
        Mar 24, 2021 to Mar 31, 2022
      • Advisory activities · 1 to 3
        Jan 29, 2020 to Mar 24, 2021
      • Assets in custody · $16.6M to $16.3M
        Jan 29, 2020 to Mar 24, 2021
      • Discretionary RAUM · $75.7M to $96.4M
        Jan 29, 2020 to Mar 24, 2021
      • Pooled vehicle RAUM · $16.6M to $16.3M
        Jan 29, 2020 to Mar 24, 2021
      • RAUM · $75.7M to $96.4M
        Jan 29, 2020 to Mar 24, 2021
      • Assets in custody · $13.5M to $16.6M
        Oct 28, 2019 to Jan 29, 2020
      • Employees · 3 to 2
        Oct 28, 2019 to Jan 29, 2020
      • Discretionary RAUM · $61.0M to $75.7M
        Oct 28, 2019 to Jan 29, 2020
      • Pooled vehicle RAUM · $13.5M to $16.6M
        Oct 28, 2019 to Jan 29, 2020
      • RAUM · $61.0M to $75.7M
        Oct 28, 2019 to Jan 29, 2020
      • Assets in custody · $15.1M to $13.5M
        Mar 20, 2019 to Oct 28, 2019
      • Discretionary RAUM · $45.9M to $61.0M
        Mar 20, 2019 to Oct 28, 2019
      • Pooled vehicle RAUM · $15.1M to $13.5M
        Mar 20, 2019 to Oct 28, 2019
      • RAUM · $45.9M to $61.0M
        Mar 20, 2019 to Oct 28, 2019
      • Accounts · 4 to 3
        Aug 22, 2018 to Mar 20, 2019
      • Pooled vehicle clients · 2 to 1
        Aug 22, 2018 to Mar 20, 2019
      • Assets in custody · $13.6M to $15.1M
        Aug 22, 2018 to Mar 20, 2019
      • Private funds · 2 to 1
        Aug 22, 2018 to Mar 20, 2019
      • Discretionary RAUM · $48.6M to $45.9M
        Aug 22, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $13.6M to $15.1M
        Aug 22, 2018 to Mar 20, 2019
      • RAUM · $48.6M to $45.9M
        Aug 22, 2018 to Mar 20, 2019
      Signals
      1 dated events
      • P••••• C•••••• filed its initial SEC registration (Form ADV)
        Aug 22, 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