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••••••• C••••••
Legal name P••••••• M••••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Dec 22, 2022 · 16 filings
SEC status approved since Jan 23, 2023
RAUM
$646M
reported, Item 5.F
Discretionary
63%
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$646M as of Jun 1, 2026
Mar 21, 2023$532M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 1, 2026
Mar 21, 20230 then
Employees (5.A)5 as of Jun 1, 2026
Mar 21, 20238 then
Private funds10 as of Jun 1, 2026
Mar 21, 20239 then
RAUM +21% over the last fiscal year+6.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 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
- $64.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%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
- +13%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $6.3M, 7 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 discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$646M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.3M for 7 clientsreported
- Compensation
- % of AUM, fixed, 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• J••••••• U• I••••••••• I•• L• | Private Equity Fund | $171M | 2 | Nov 8, 2019 |
| P••••••• C•••••• I••• L• | Private Equity Fund | $122M | 9 | Nov 8, 2019 |
| S• J••••••• U• I••••••••• I•• L• | Private Equity Fund | $36.9M | 2 | Nov 8, 2019 |
| P••••••• C•••••• I•• L••• | Private Equity Fund | $28.5M | 53 | Mar 31, 2021 |
| S• J••••••• U• I••••••••• V• L• | Private Equity Fund | $22.8M | 2 | May 30, 2017 |
| P••••••• C•••••• I•••• L••• | Private Equity Fund | $18.3M | 1 | Dec 22, 2022 |
| P••••••• O••••••••• F••• C•••••• L••• | Private Equity Fund | $12.0M | 6 | Dec 22, 2022 |
| P••••••• G••••• O••••••••• F••• L•• | Private Equity Fund | $5.1M | 2 | Jan 15, 2021 |
| P••••••• S•••••• O••••••••• I•• L••• | Private Equity Fund | $3.2M | 1 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- L••••••• K•••••••• D•• · Ownercontrolsince 08/2017 · owns 75% or more
- X•• W••••• N•• · Chief Compliance Officersince 11/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $378M to $409MMar 18, 2026 to Jun 1, 2026
- Non-discretionary RAUM · $226M to $238MMar 18, 2026 to Jun 1, 2026
- Pooled vehicle RAUM · $604M to $646MMar 18, 2026 to Jun 1, 2026
- RAUM · $604M to $646MMar 18, 2026 to Jun 1, 2026
- Accounts · 9 to 10May 28, 2025 to Mar 18, 2026
- Advisory employees · 6 to 5May 28, 2025 to Mar 18, 2026
- Pooled vehicle clients · 9 to 10May 28, 2025 to Mar 18, 2026
- Assets in custody · $5.3M to $6.3MMay 28, 2025 to Mar 18, 2026
- Employees · 6 to 5May 28, 2025 to Mar 18, 2026
- Private funds · 9 to 10May 28, 2025 to Mar 18, 2026
- Discretionary RAUM · $326M to $378MMay 28, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $242M to $226MMay 28, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $568M to $604MMay 28, 2025 to Mar 18, 2026
- RAUM · $568M to $604MMay 28, 2025 to Mar 18, 2026
- Assets in custody · $8.2M to $5.3MMar 19, 2025 to May 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2025 to May 28, 2025
- Discretionary RAUM · $303M to $326MMar 19, 2025 to May 28, 2025
- Non-discretionary RAUM · $233M to $242MMar 19, 2025 to May 28, 2025
- Pooled vehicle RAUM · $536M to $568MMar 19, 2025 to May 28, 2025
- RAUM · $536M to $568MMar 19, 2025 to May 28, 2025
- Advisory employees · 7 to 6Oct 17, 2024 to Mar 19, 2025
- Assets in custody · $4.6M to $8.2MOct 17, 2024 to Mar 19, 2025
- Employees · 7 to 6Oct 17, 2024 to Mar 19, 2025
- Financial planning clients · unset to 1-10Oct 17, 2024 to Mar 19, 2025
- Discretionary RAUM · $298M to $303MOct 17, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $233M to $233MOct 17, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $531M to $536MOct 17, 2024 to Mar 19, 2025
- RAUM · $531M to $536MOct 17, 2024 to Mar 19, 2025
- Discretionary RAUM · $298M to $298MMay 8, 2024 to Oct 17, 2024
- Pooled vehicle RAUM · $531M to $531MMay 8, 2024 to Oct 17, 2024
- RAUM · $531M to $531MMay 8, 2024 to Oct 17, 2024
- Discretionary RAUM · $291M to $298MMar 5, 2024 to May 8, 2024
- Non-discretionary RAUM · $205M to $233MMar 5, 2024 to May 8, 2024
- Pooled vehicle RAUM · $495M to $531MMar 5, 2024 to May 8, 2024
- RAUM · $495M to $531MMar 5, 2024 to May 8, 2024
- Advisory employees · 8 to 7Nov 21, 2023 to Mar 5, 2024
- Assets in custody · $9.2M to $4.6MNov 21, 2023 to Mar 5, 2024
- Employees · 8 to 7Nov 21, 2023 to Mar 5, 2024
- Discretionary RAUM · $294M to $291MNov 21, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $211M to $205MNov 21, 2023 to Mar 5, 2024
Signals
1 dated events
- P••••••• C•••••• filed its initial SEC registration (Form ADV)Dec 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- P••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- peakview.capitalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1 650-321-6600reportedpublic record, Form ADV, Jun 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