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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SEC-registered adviser
P••••••• E••••••••• C•••••• L••
Latest filing May 1, 2026
First filing on the tape Aug 29, 2019 · 19 filings
SEC status approved since Oct 2, 2019
RAUM
$13B
reported, Item 5.F
Discretionary
0.0%
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
37
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$13B as of May 1, 2026
Mar 19, 2020$8.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 19, 20200 then
Employees (5.A)37 as of May 1, 2026
Mar 19, 202022 then
Private funds2 as of May 1, 2026
Mar 19, 20201 then
RAUM -4.2% over the last fiscal year-6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2026; 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
- $6.7BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $7.8M, 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 custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.8M for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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••••••• E••••••••• C•••••• H••••••• L•• | Private Equity Fund | $15B | 3 | Feb 14, 2012 |
| P•• V•••••• I•••••••• L•• | Private Equity Fund | $59,038 | 2 | Sep 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••••• B••••••• · Senior Managing Directorcontrolsince 08/2018 · owns 10% to 25%
- K•••••• M••••••• L•••• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
- L••••• J••••• C•••••• · General Counsel, Senior Managing Director, And Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- R••••••••• R•••••• L••••• · Senior Managing Directorcontrolsince 08/2018 · owns less than 5%
- S••••••••• J•••• L••• · Managing Directorcontrolsince 01/2023 · owns less than 5%
- S••••••• D•••••• M••• · Chief Executive Officercontrolsince 08/2018 · owns 50% to 75%
- S••••••• E••••• W••••• · Senior Managing Directorcontrolsince 08/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 1, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
What changed
consecutive filings, newest first
- Assets in custody · $5.1M to $7.8MMay 2, 2025 to Mar 25, 2026
- Employees · 35 to 37May 2, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $14B to $13BMay 2, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $14B to $13BMay 2, 2025 to Mar 25, 2026
- RAUM · $14B to $13BMay 2, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 2, 2025
- Advisory employees · 7 to 6May 8, 2024 to Mar 27, 2025
- Assets in custody · $5.5M to $5.1MMay 8, 2024 to Mar 27, 2025
- Employees · 33 to 35May 8, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $15B to $14BMay 8, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $15B to $14BMay 8, 2024 to Mar 27, 2025
- RAUM · $15B to $14BMay 8, 2024 to Mar 27, 2025
- Assets in custody · $8.6M to $5.5MJun 16, 2023 to Mar 22, 2024
- Employees · 30 to 33Jun 16, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $16B to $15BJun 16, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $16B to $15BJun 16, 2023 to Mar 22, 2024
- RAUM · $16B to $15BJun 16, 2023 to Mar 22, 2024
- Employees · 28 to 30Mar 29, 2023 to May 9, 2023
- Non-discretionary RAUM · $16B to $16BMar 29, 2023 to May 9, 2023
- Pooled vehicle RAUM · $16B to $16BMar 29, 2023 to May 9, 2023
- RAUM · $16B to $16BMar 29, 2023 to May 9, 2023
- Assets in custody · $6.9M to $8.6MJan 13, 2023 to Mar 29, 2023
- Employees · 27 to 28Jan 13, 2023 to Mar 29, 2023
- Non-discretionary RAUM · $13B to $16BJan 13, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $13B to $16BJan 13, 2023 to Mar 29, 2023
- RAUM · $13B to $16BJan 13, 2023 to Mar 29, 2023
- Advisory employees · 8 to 7Sep 23, 2021 to Mar 25, 2022
- Assets in custody · $3.7M to $6.9MSep 23, 2021 to Mar 25, 2022
- Employees · 24 to 27Sep 23, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $9.8B to $13BSep 23, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $9.8B to $13BSep 23, 2021 to Mar 25, 2022
- RAUM · $9.8B to $13BSep 23, 2021 to Mar 25, 2022
- Accounts · 1 to 2May 20, 2021 to Sep 23, 2021
- Pooled vehicle clients · 1 to 2May 20, 2021 to Sep 23, 2021
- Assets in custody · $1.3M to $3.7MMay 20, 2021 to Sep 23, 2021
- Employees · 23 to 24May 20, 2021 to Sep 23, 2021
- Private funds · 1 to 2May 20, 2021 to Sep 23, 2021
- Non-discretionary RAUM · $8.7B to $9.8BMay 20, 2021 to Sep 23, 2021
- Pooled vehicle RAUM · $8.7B to $9.8BMay 20, 2021 to Sep 23, 2021
- RAUM · $8.7B to $9.8BMay 20, 2021 to Sep 23, 2021
Signals
6 dated events
- P••••••• E••••••••• C•••••• L•• reported RAUM $16.2B, up 27% from $12.8B (2023-01-13 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Louis Michael Keesey (Chief Financial Officer) appeared on Schedule A of P••••••• E••••••••• C•••••• L••Jan 13, 2023 · Control person joined · fact
- L••• J••• S••••••••• (Managing Director) appeared on Schedule A of P••••••• E••••••••• C•••••• L••Jan 13, 2023 · Control person joined · fact
- P••••••• E••••••••• C•••••• L•• reported RAUM $12.8B, up 30% from $9.8B (2021-09-23 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Marcus Peter Poggioli (Chief Investment Officer) no longer on Schedule A of P••••••• E••••••••• C•••••• L•• (listed 2021-09-23, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- P••••••• E••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• E••••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••••••• E••••••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/partners-enterprise-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-858-3370reportedpublic record, Form ADV, May 1, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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