DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 26, 2020 · 12 filings
SEC status approved since Nov 16, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
28%
of RAUM
Private clients
0.4%
$3.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 19, 2021$185M then
HNW client RAUM$3.8M as of Mar 31, 2026
Mar 19, 2021$2.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 19, 20211 then
Employees (5.A)4 as of Mar 31, 2026
Mar 19, 20218 then
Private funds: no history
RAUM n/a over the last fiscal year+52% a year over three
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $626,071derivedHNW RAUM over HNW clients
- Average account
- $71.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 28%derivedof RAUM
- Institutional
- 100%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$1.1B100%
- High-net-worth individuals$3.8M0.4%
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 9reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• T••••••• C•••••••• · Chief Executive Officer, Chief Investment Officer, Chief Compliance Officercontrolsince 08/2020 · owns 75% or more
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
- Accounts · 18 to 15Nov 11, 2025 to Mar 31, 2026
- Advisory employees · 2 to 1Nov 11, 2025 to Mar 31, 2026
- Charity clients · 14 to 9Nov 11, 2025 to Mar 31, 2026
- Employees · 3 to 4Nov 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $352M to $304MNov 11, 2025 to Mar 31, 2026
- HNW RAUM · $3.1M to $3.8MNov 11, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $60.0M to $763MNov 11, 2025 to Mar 31, 2026
- RAUM · $412M to $1.1BNov 11, 2025 to Mar 31, 2026
- Accounts · 34 to 18May 15, 2024 to Nov 11, 2025
- Advisory employees · 3 to 2May 15, 2024 to Nov 11, 2025
- Charity clients · 10 to 14May 15, 2024 to Nov 11, 2025
- Employees · 8 to 3May 15, 2024 to Nov 11, 2025
- Financial planning clients · unset to May 15, 2024 to Nov 11, 2025
- Discretionary RAUM · $164M to $352MMay 15, 2024 to Nov 11, 2025
- HNW RAUM · $8.4M to $3.1MMay 15, 2024 to Nov 11, 2025
- Non-discretionary RAUM · $256M to $60.0MMay 15, 2024 to Nov 11, 2025
- RAUM · $421M to $412MMay 15, 2024 to Nov 11, 2025
- Accounts · 20 to 34Jun 20, 2023 to May 15, 2024
- Charity clients · 6 to 10Jun 20, 2023 to May 15, 2024
- HNW clients · 14 to 6Jun 20, 2023 to May 15, 2024
- Discretionary RAUM · $119M to $164MJun 20, 2023 to May 15, 2024
- HNW RAUM · $8.5M to $8.4MJun 20, 2023 to May 15, 2024
- Non-discretionary RAUM · $185M to $256MJun 20, 2023 to May 15, 2024
- RAUM · $304M to $421MJun 20, 2023 to May 15, 2024
- Accounts · 124 to 20Jul 22, 2022 to Jun 20, 2023
- Charity clients · 3 to 6Jul 22, 2022 to Jun 20, 2023
- HNW clients · 52 to 14Jul 22, 2022 to Jun 20, 2023
- Discretionary RAUM · $155M to $119MJul 22, 2022 to Jun 20, 2023
- HNW RAUM · $18.4M to $8.5MJul 22, 2022 to Jun 20, 2023
- Non-discretionary RAUM · $200M to $185MJul 22, 2022 to Jun 20, 2023
- RAUM · $355M to $304MJul 22, 2022 to Jun 20, 2023
- Accounts · 10 to 124Mar 19, 2021 to Jun 27, 2022
- Charity clients · 1 to 3Mar 19, 2021 to Jun 27, 2022
- Corporate clients · unset to 0.0Mar 19, 2021 to Jun 27, 2022
- HNW clients · 3 to 52Mar 19, 2021 to Jun 27, 2022
- Individual clients · unset to 0.0Mar 19, 2021 to Jun 27, 2022
- Pension plan clients · unset to 0.0Mar 19, 2021 to Jun 27, 2022
- Pooled vehicle clients · unset to 0.0Mar 19, 2021 to Jun 27, 2022
- Insurance-licensed employees · 2 to 0Mar 19, 2021 to Jun 27, 2022
- State-registered IARs · 1 to 0Mar 19, 2021 to Jun 27, 2022
Signals
4 dated events
- P•••••• A••••••• L•• reported RAUM $1.1B, up 159% from $412.3M (2025-11-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•••••• A••••••• L•• reported RAUM $420.5M, up 38% from $303.8M (2023-06-20 to 2024-05-15)May 15, 2024 · RAUM change · derived
- P•••••• A••••••• L•• reported RAUM $355.0M, up 92% from $184.6M (2021-03-19 to 2022-06-27)Jun 27, 2022 · RAUM change · derived
- P•••••• I••••••••• filed its initial SEC registration (Form ADV)Aug 26, 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.
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-535-1097reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda 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