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••••••••• R••••••••
Legal name P••••••••• R•••••••• F••• S••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 30, 2019 · 18 filings
SEC status approved since Aug 29, 2019
RAUM
$332M
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
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$332M as of Mar 30, 2026
Mar 30, 2020$332M then
HNW client RAUM$454,569 as of Mar 25, 2025
Mar 30, 2020$4.8M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20200 then
Employees (5.A)6 as of Mar 30, 2026
Mar 30, 202010 then
Private funds3 as of Mar 30, 2026
Mar 30, 20203 then
RAUM -20% over the last fiscal year-7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $111MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%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 pooled vehiclesreportedItem 5.G
- Custody
- $332M, 3 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$332M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $332M for 3 clientsreported
- Compensation
- % of AUM, 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• R•••••••• F••• I••••• L•• | Private Equity Fund | $240M | 44 | Mar 30, 2020 |
| P••••••••• R•••••••• F••• I•• L•• | Private Equity Fund | $191M | 69 | Jul 30, 2019 |
| P••••••••• R•••••••• F••• I• L•• | Private Equity Fund | $5.7M | 46 | Jul 30, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M••••• M••••• F••••••••• B•••• · Chief Compliance Officer And Managing Membercontrolsince 06/2012 · owns 25% to 50%
- M••••• M••••• F••••••••• B•••• · Managing Membercontrolsince 06/2012 · owns 75% or more of P••••••••• R•••••••• A•••• M••••••••• L••
- S•••••• D•••••• H•••• · Trusteecontrolsince 08/2020 · owns 75% or more of D••••• S••••• T•••• D•••• A••••• 2•• 2•••
- S•••••• D•••••• H•••• · Trusteesince 02/2012 · owns F of S••••• F••••• H••••••• I• L••
Entity owners
- D••••• S••••• T•••• D•••• A••••• 2•• 2••• · Managing Memberindirect · owns 75% or more of S••••• F••••• H••••••• I• L••
- P••••••••• R•••••••• A•••• M••••••••• L•• · Memberdirect · owns 10% to 25%
- S••••• F••••• H••••••• I• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Houston, TX2 employees
What changed
consecutive filings, newest first
- Accounts · 5 to 3Mar 25, 2025 to Mar 30, 2026
- Advisory employees · 6 to 5Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $414M to $332MMar 25, 2025 to Mar 30, 2026
- Employees · 7 to 6Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $414M to $332MMar 25, 2025 to Mar 30, 2026
- HNW RAUM · 454569.0 to unsetMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $413M to $332MMar 25, 2025 to Mar 30, 2026
- RAUM · $414M to $332MMar 25, 2025 to Mar 30, 2026
- Assets in custody · $437M to $414MMar 19, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 25, 2025
- Discretionary RAUM · $438M to $414MMar 19, 2024 to Mar 25, 2025
- HNW RAUM · $555,259 to $454,569Mar 19, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $437M to $413MMar 19, 2024 to Mar 25, 2025
- RAUM · $438M to $414MMar 19, 2024 to Mar 25, 2025
- Advisory employees · 5 to 6Aug 10, 2023 to Mar 19, 2024
- Assets in custody · $419M to $437MAug 10, 2023 to Mar 19, 2024
- Employees · 6 to 7Aug 10, 2023 to Mar 19, 2024
- Discretionary RAUM · $420M to $438MAug 10, 2023 to Mar 19, 2024
- HNW RAUM · $1.3M to $555,259Aug 10, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $419M to $437MAug 10, 2023 to Mar 19, 2024
- RAUM · $420M to $438MAug 10, 2023 to Mar 19, 2024
- HQ city · CHICAGO to NEW YORKApr 26, 2023 to Aug 8, 2023
- HQ state · IL to NYApr 26, 2023 to Aug 8, 2023
- Other offices · 2 to 1Apr 26, 2023 to Aug 8, 2023
- Advisory employees · 6 to 5Nov 23, 2022 to Mar 27, 2023
- Assets in custody · $413M to $419MNov 23, 2022 to Mar 27, 2023
- Employees · 7 to 6Nov 23, 2022 to Mar 27, 2023
- Discretionary RAUM · $415M to $420MNov 23, 2022 to Mar 27, 2023
- HNW RAUM · $2.0M to $1.3MNov 23, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $413M to $419MNov 23, 2022 to Mar 27, 2023
- RAUM · $415M to $420MNov 23, 2022 to Mar 27, 2023
- Advisory employees · 8 to 6Oct 6, 2021 to Mar 31, 2022
- Assets in custody · $356M to $413MOct 6, 2021 to Mar 31, 2022
- Employees · 10 to 7Oct 6, 2021 to Mar 31, 2022
- Discretionary RAUM · $360M to $415MOct 6, 2021 to Mar 31, 2022
- HNW RAUM · $3.2M to $2.0MOct 6, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $357M to $413MOct 6, 2021 to Mar 31, 2022
- RAUM · $360M to $415MOct 6, 2021 to Mar 31, 2022
- Assets in custody · $328M to $356MJun 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $332M to $360MJun 30, 2020 to Mar 31, 2021
Signals
2 dated events
- G••• S•••••• Z•••••••• (Chief Compliance Officer And Controller) no longer on Schedule A of P••••••••• R•••••••• (listed 2022-03-31, absent 2022-05-31)May 31, 2022 · Control person left · inference
- P••••••••• R•••••••• filed its initial SEC registration (Form ADV)Jul 30, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••••• R•••••••• · Independent Sponsorsshared crd · capital_provider
- P••••••••• R•••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/phoenician-resources/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-405-9340reportedpublic record, Form ADV, Mar 30, 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