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••••••• L•••
Legal name P••••••• L•••• L••
Latest filing Mar 20, 2023
First filing on the tape Feb 14, 2022 · 5 filings
RAUM
$101M
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
15
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$45.6M gross assets
History
5 filings and snapshots on the tape
RAUM$101M as of Mar 20, 2023
Feb 14, 2022$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2023
Feb 14, 20220 then
Employees (5.A)15 as of Mar 20, 2023
Feb 14, 202221 then
Private funds1 as of Mar 20, 2023
Feb 14, 20222 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 20, 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
- $50.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 55%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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
- Sovereign wealth funds$55.7M55%
- Pooled investment vehicles$45.6M45%
- 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
- noreported
- Compensation
- % of AUMreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••• L••• G••••• C••• E••••• M••••• F••• L• | Other Private Fund | $45.6M | 7 | Feb 14, 2022 |
| P••••••• L••• A••••••• R••••• M••••• F••• L• | Hedge Fund | $42.3M | 17 | Feb 14, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••••••• E••••• · President, Chief Operating Officer, And Membercontrolsince 08/2020 · owns less than 5%
- D•••••• B••••• W•••••• · Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- E••••• P••••• L•••• · Partner, Head Of Business Strategycontrolsince 06/2022 · owns less than 5%
- H•••••••• P•••••••• A•••• · Chief Risk Officercontrolsince 06/2022 · owns less than 5%
- N•••••• J••••••••• A•• · Controllercontrolsince 06/2022 · owns less than 5%
- O••••••••• J•••• W••••••• · Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- R••••• D•••••• N••• · Chief Legal Officercontrolsince 06/2022 · owns less than 5%
- D•••••• B••••• W•••••• · Shareholdercontrolsince 06/2022 · owns 50% to 75% of A••••••• L••
Entity owners
- E••• T•• H••••••• L•• · Ownerdirect · owns 75% or more
- A••••••• L•• · Shareholderindirect · owns 50% to 75% of E••• T•• H••••••• L••
Related persons
Schedule D 7.A
- E••• A•••• M••••••••• L••investment advisernRAUM $682,181
- E••• C••••••••• S••• H••••••• F••• G• L••pooled vehicle sponsorn
- E••• C•• O••••••••• F••• I• G• L••pooled vehicle sponsorn
- E••• S••••••••• L••broker-dealern
- E••• S••• W•••••• O••••••••• G• L••pooled vehicle sponsorn
- P••••••• L••• G••••• C••• E••••• G•• L••pooled vehicle sponsory
Advisers that list P••••••• L••• as a related person
- 305706 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 2Jul 1, 2022 to Feb 28, 2023
- Advisory employees · 11 to 15Jul 1, 2022 to Feb 28, 2023
- Advisory activities · 1 to 2Jul 1, 2022 to Feb 28, 2023
- BD registered reps · 1 to 0Jul 1, 2022 to Feb 28, 2023
- Pooled vehicle clients · 6 to 1Jul 1, 2022 to Feb 28, 2023
- Assets in custody · 0.0 to unsetJul 1, 2022 to Feb 28, 2023
- Custody of client assets · true to falseJul 1, 2022 to Feb 28, 2023
- Employees · 21 to 15Jul 1, 2022 to Feb 28, 2023
- Legal name · P••••••• L••• LLC to P••••••• L•••• L••Jul 1, 2022 to Feb 28, 2023
- Private funds · 2 to 1Jul 1, 2022 to Feb 28, 2023
- Discretionary RAUM · $106M to $101MJul 1, 2022 to Feb 28, 2023
- Pooled vehicle RAUM · $106M to $45.6MJul 1, 2022 to Feb 28, 2023
- RAUM · $106M to $101MJul 1, 2022 to Feb 28, 2023
- Related bank · true to falseJul 1, 2022 to Feb 28, 2023
- HQ city · SAN FRANCISCO to unsetFeb 24, 2022 to Jul 1, 2022
- HQ state · CA to unsetFeb 24, 2022 to Jul 1, 2022
Signals
15 dated events
- Ann Jacqueline Neisch (Controller) appeared on Schedule A of P••••••• L•••Feb 28, 2023 · Control person joined · fact
- Howard Matthew Scanlan (Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- Caldwell David Dominik (Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- O'Connor Robert Little (Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- Frank Kenneth Kroner (Chief Executive Officer And Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- Jonathan Daniel Haspel (Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- Nmn Natasha Salins (Chief Compliance Officer) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- Nmn Stephen Oetgen (Member) no longer on Schedule A of P••••••• L••• (listed 2022-02-24, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
- William Brady Dougan (Chief Executive Officer) appeared on Schedule A of P••••••• L•••Jul 1, 2022 · Control person joined · fact
- Wenzlaff Jill Ostergaard (Chief Compliance Officer) appeared on Schedule A of P••••••• L•••Jul 1, 2022 · Control person joined · fact
- Neil Donald Radey (Chief Legal Officer) appeared on Schedule A of P••••••• L•••Jul 1, 2022 · Control person joined · fact
- Lyons Peter Early (Partner, Head Of Business Strategy) appeared on Schedule A of P••••••• L•••Jul 1, 2022 · Control person joined · fact
- Andre Philippe Hatstadt (Chief Risk Officer) appeared on Schedule A of P••••••• L•••Jul 1, 2022 · Control person joined · fact
- Nmn Stephen Oetgen (Member) appeared on Schedule A of P••••••• L•••Feb 24, 2022 · Control person joined · fact
- P••••••• L••• filed its initial SEC registration (Form ADV)Feb 14, 2022 · 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