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•••••• I••••••••• A•••••••• L••
Latest filing Mar 20, 2024
First filing on the tape Jan 14, 2022 · 3 filings
RAUM
$1.2B
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$39.6M gross assets
History
3 filings and snapshots on the tape
RAUM$1.2B as of Mar 20, 2024
Mar 27, 2023$997M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2024
Mar 27, 20233 then
Employees (5.A)2 as of Mar 20, 2024
Mar 27, 20236 then
Private funds1 as of Mar 20, 2024
Mar 27, 20231 then
RAUM +24% over the last fiscal yearIARs 3 to 1
Practice profile
derived from the filing of Mar 20, 2024; every figure names its basis
- RAUM per advisor
- $1.2BderivedRAUM 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
- $620MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 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
- $39.6M, 57 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$39.6M100%
- 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
- $39.6M for 57 clientsreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• R••• E••••• F••• I• L• | Real Estate Fund | $39.6M | 57 | Dec 5, 2019 |
Owners and control persons
Schedule A and B, latest filing
- E••••• B•••••••• T••••• · Managercontrolsince 06/2019 · owns 10% to 25%
- H•••• W••••••• H•••• · Managercontrolsince 06/2019 · owns 10% to 25%
- H•••••• J•••• M•••••• · Ccocontrolsince 06/2019 · owns less than 5%
- P•••• M•••••••• R•••••• A•••••• · Managercontrolsince 06/2019 · owns 50% to 75%
- S•••••• V••••••••• A•••••• · Managercontrolsince 06/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- F•••• S•••••••• L••broker-dealern
- F••• L••investment advisernRAUM $138M
- P••• M••••••••• L••investment adviserpooled vehicle sponsorn
- P•••••• A•••• M••••••••• L••investment advisernRAUM $175M
- P•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $191M
- P•••••• R••• E••••• C•••••• P•••••••• L••pooled vehicle sponsorn
Advisers that list P•••••• I••••••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 1Mar 27, 2023 to Mar 20, 2024
- BD registered reps · 6 to 1Mar 27, 2023 to Mar 20, 2024
- Employees · 6 to 2Mar 27, 2023 to Mar 20, 2024
- Insurance-licensed employees · 3 to 0Mar 27, 2023 to Mar 20, 2024
- State-registered IARs · 3 to 1Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $997M to $1.2BMar 27, 2023 to Mar 20, 2024
- RAUM · $997M to $1.2BMar 27, 2023 to Mar 20, 2024
- BD registered reps · 5 to 6Jan 14, 2022 to Mar 27, 2023
- Assets in custody · $0 to $39.6MJan 14, 2022 to Mar 27, 2023
- Employees · 5 to 6Jan 14, 2022 to Mar 27, 2023
- Private funds · 2 to 1Jan 14, 2022 to Mar 27, 2023
- Discretionary RAUM · $312M to $997MJan 14, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $22.0M to $39.6MJan 14, 2022 to Mar 27, 2023
- RAUM · $312M to $997MJan 14, 2022 to Mar 27, 2023
Signals
2 dated events
- P•••••• I••••••••• A•••••••• L•• reported RAUM $996.6M, up 219% from $311.9M (2022-01-14 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- P•••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 14, 2022 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- P•••••• I••••••••• A•••••••• L•• · Private Equityshared crd · organization
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
Across the graphs
P•••••• I••••••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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