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Former SEC-registered adviser

P•••••••• P••••••• L••

Former SEC-registered adviserEl Segundo, CaliforniaCRD 307899SEC 801-118387IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 5, 2020 · 6 filings
RAUM
$641M
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.9M gross assets
History
6 filings and snapshots on the tape
RAUM$641M as of Mar 31, 2021
Dec 22, 2020$522M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 5, 20200 then
Employees (5.A)9 as of Mar 31, 2021
Mar 5, 20203 then
Private funds1 as of Mar 31, 2021
Dec 22, 20201 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2021; 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
$160MderivedRAUM 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
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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$1.9M, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$542M100%
  • Pooled investment vehicles$1.9M0.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.9M for 1 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••••• I••••••••• V•••• F•••• L•••Other Private Fund$1.9M5Dec 22, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• N••••••• · Chief Operating Officercontrol
        since 08/2020 · owns less than 5%
      • H•••• G••••••• A•••• · Co-Presidentcontrol
        since 10/2020 · owns less than 5%
      • M••••••• J•••• B••••••• · Executive Directorcontrol
        since 02/2020 · owns less than 5%
      • P•• P••••••••• A•••• · Co-Presidentcontrol
        since 10/2020 · owns less than 5%
      • T•••••••• C•••• B••••• K•• · Chief Compliance Officercontrol
        since 02/2020 · owns less than 5%
      • H•••• G••••••• A•••• · Membercontrol
        since 02/2020 · owns F of P•••••••• P•••••••• H••••••• L••
      • H•••• G••••••• A•••• · Membercontrol
        since 02/2020 · owns F of P•••••••• P••••••• G• L••
      • P•• P••••••••• A•••• · Membercontrol
        since 02/2020 · owns 75% or more of P•••••••• P•••••••• H••••••• L••
      • P•• P••••••••• A•••• · Membercontrol
        since 02/2020 · owns 75% or more of P•••••••• P••••••• G• L••
      Entity owners
      • P•••••••• P••••••• H••••••• L• · Managing Member
        direct · owns 75% or more
      • P•••••••• P••••••• G• L•• · General Partner
        indirect · owns F of P•••••••• P••••••• H••••••• L•
      • P•••••••• P•••••••• H••••••• L•• · L•••••• Partner
        indirect · owns 25% to 50% of P•••••••• P••••••• H••••••• L•
      • P•••• C•••••• •••••••• C••••••••• · Managing Member
        indirect · owns 75% or more of P•••• C•••••• H••••••• L••
      • P•••• C•••••• H••••••• L•• · L•••••• Partner
        indirect · owns 50% to 75% of P•••••••• P••••••• H••••••• L•
      • P•••• C•••••• H••••••• P•• · Owner
        indirect · owns 75% or more of P•••• C•••••• U• H••••••• L••••••
      • P•••• C•••••• U• H••••••• L•••••• · Owner
        indirect · owns 75% or more of P•••• C•••••• •••••••• C•••••••••
      Related persons
      Schedule D 7.A
      Advisers that list P•••••••• P••••••• 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 · 5 to 6
        Dec 22, 2020 to Mar 31, 2021
      • Assets in custody · $1.6M to $1.9M
        Dec 22, 2020 to Mar 31, 2021
      • Employees · 7 to 9
        Dec 22, 2020 to Mar 31, 2021
      • Discretionary RAUM · $522M to $641M
        Dec 22, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.6M to $1.9M
        Dec 22, 2020 to Mar 31, 2021
      • RAUM · $522M to $641M
        Dec 22, 2020 to Mar 31, 2021
      • Accounts · unset to 4.0
        Aug 13, 2020 to Dec 22, 2020
      • Advisory employees · 0 to 5
        Aug 13, 2020 to Dec 22, 2020
      • Advisory activities · 3 to 4
        Aug 13, 2020 to Dec 22, 2020
      • Pooled vehicle clients · unset to 1.0
        Aug 13, 2020 to Dec 22, 2020
      • Assets in custody · $0 to $1.6M
        Aug 13, 2020 to Dec 22, 2020
      • Custody of client assets · false to true
        Aug 13, 2020 to Dec 22, 2020
      • Employees · 3 to 7
        Aug 13, 2020 to Dec 22, 2020
      • HQ city · DARIEN to EL SEGUNDO
        Aug 13, 2020 to Dec 22, 2020
      • HQ state · CT to CA
        Aug 13, 2020 to Dec 22, 2020
      • Private funds · unset to 1
        Aug 13, 2020 to Dec 22, 2020
      • Discretionary RAUM · unset to 521993860.0
        Aug 13, 2020 to Dec 22, 2020
      • Non-discretionary RAUM · unset to 0.0
        Aug 13, 2020 to Dec 22, 2020
      • Pooled vehicle RAUM · unset to 1640556.0
        Aug 13, 2020 to Dec 22, 2020
      • RAUM · unset to 521993860.0
        Aug 13, 2020 to Dec 22, 2020
      Signals
      2 dated events
      • N••••••• F••••• (Chief Operating Officer) appeared on Schedule A of P•••••••• P••••••• L••
        Aug 13, 2020 · Control person joined · fact
      • P•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 5, 2020 · 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