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Former SEC-registered adviser

P••••••• F••••••• I••••• M••••••••• L••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 298630SEC 801-114046IAPD

Latest filing Mar 29, 2021

First filing on the tape Aug 27, 2018 · 5 filings

RAUM

$42.5M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

48 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

5 filings and snapshots on the tape

RAUM$42.5M as of Mar 29, 2021

Mar 26, 2020$43.8M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2021

Mar 27, 20190 then

Employees (5.A)96 as of Mar 29, 2021

Mar 27, 2019106 then

Private funds: no history

RAUM -3.0% over the last fiscal yearIARs 0 to 0offices 0 to 2

Practice profile

derived from the filing of Mar 29, 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: $42.5MderivedRAUM 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: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: -3.0%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 investment companiesreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 1reported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• J•••• F•••••• · Chairman & Ceocontrol
since 08/2018 · owns less than 5%
E••••••• G••••• M• · Coo & Presidentcontrol
since 08/2018 · owns less than 5%
V•• D•••• K••••••• L•• · Cfo, Cco, Secretary & Treasurercontrol
since 08/2018 · owns less than 5%
B••••• J•••• F•••••• · Membercontrol
since 08/2018 · owns 75% or more of P••••••• C•••••• M••••••••• L•••

Entity owners

P••••••• C•••••• M••••••••• L••• · Member
direct · owns 75% or more

Related persons

Schedule D 7.A

P••••••• S••••• S•••••• I••••• M••••••••• L••
investment advisernRAUM $479M
P••••••• C•••••• M••••••••• L•••
investment adviseryRAUM $6.6B

Advisers that list P••••••• F••••••• I••••• M••••••••• L•• as a related person

167650 n

Offices

Schedule D 1.F, the 25 largest

New York, NY38 employees
Darien, CT5 employees

What changed

consecutive filings, newest first

Advisory employees · 49 to 48
Mar 26, 2020 to Mar 29, 2021
Employees · 103 to 96
Mar 26, 2020 to Mar 29, 2021
HQ city · NEW YORK to WEST PALM BEACH
Mar 26, 2020 to Mar 29, 2021
HQ state · NY to FL
Mar 26, 2020 to Mar 29, 2021
Other offices · 0 to 2
Mar 26, 2020 to Mar 29, 2021
Discretionary RAUM · $43.8M to $42.5M
Mar 26, 2020 to Mar 29, 2021
RAUM · $43.8M to $42.5M
Mar 26, 2020 to Mar 29, 2021
Advisory employees · 55 to 49
Apr 5, 2019 to Mar 26, 2020
Employees · 106 to 103
Apr 5, 2019 to Mar 26, 2020
Other offices · 1 to 0
Apr 5, 2019 to Mar 26, 2020
Discretionary RAUM · $26.4M to $43.8M
Apr 5, 2019 to Mar 26, 2020
RAUM · $26.4M to $43.8M
Apr 5, 2019 to Mar 26, 2020
Accounts · unset to 1.0
Mar 27, 2019 to Apr 5, 2019
Charity clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
Corporate clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
HNW clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
Individual clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
Pension plan clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
Pooled vehicle clients · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
Discretionary RAUM · unset to 26437000.0
Mar 27, 2019 to Apr 5, 2019
Non-discretionary RAUM · unset to 0.0
Mar 27, 2019 to Apr 5, 2019
RAUM · unset to 26437000.0
Mar 27, 2019 to Apr 5, 2019
Advisory employees · 37 to 55
Aug 27, 2018 to Mar 27, 2019
Employees · 100 to 106
Aug 27, 2018 to Mar 27, 2019

Signals

1 dated events

P••••••• F••••••• I••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Aug 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