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••• G••••• A••••••• L••

Former SEC-registered adviserSyosset, New YorkCRD 310671SEC 801-119580IAPD
Latest filing Mar 31, 2021
First filing on the tape Sep 2, 2020 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Jan 22, 2021
Sep 2, 2020$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Sep 2, 20200 then
Employees (5.A)4 as of Mar 31, 2021
Sep 2, 20204 then
Private funds: no history
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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
financial planning, pension consulting, educational seminarsreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••• R••••••• T••••• · Chief Executive Officer And Directorcontrol
        since 09/2020 · owns less than 5%
      • F••••••• T•••• S•••• · Executive Vice President & Chief Compliance Officercontrol
        since 08/2020 · owns less than 5%
      • N•••••• P•••••• A•••••••• · Chief Operations Officer And Directorcontrol
        since 09/2020 · owns less than 5%
      • P•••• M••••• K•••• · Presidentcontrol
        since 08/2020 · owns less than 5%
      • C•••• M••••••• W•••••• · Managercontrol
        since 09/2020 · owns F of C• C•••••••• P••••• L••
      • C•••• M••••••• W•••••• · Elected Managercontrol
        since 09/2020 · owns F of C••••••••• C•••••• P••••••• G•• L••
      • E••••••• R••••••• T••••• · Managercontrol
        since 09/2020 · owns F of C• C•••••••• P••••• L••
      • K•••• D••••• L• · Managercontrol
        since 04/2020 · owns F of C• C•••••••• P••••• L••
      • K••••••• J•••••• A•••• · Managercontrol
        since 09/2020 · owns F of C• C•••••••• P••••• L••
      • N•••••• P•••••• A•••••••• · Managercontrol
        since 09/2020 · owns F of C• C•••••••• P••••• L••
      • S••••••• D•••• · Managercontrol
        since 09/2020 · owns F of C• C•••••••• P••••• L••
      Entity owners
      • W•• H•••••••• L•• · Direct Owner Of P••• G••••• A••••••• L••
        direct · owns 75% or more
      • C• C•••••••• M•••• L•• · Member
        indirect · owns 75% or more of W•••• A••••••••• H•••••••• L••
      • C• C•••••••• P••••• L•• · Member
        indirect · owns 75% or more of C• C•••••••• M•••• L••
      • C••••••••• C•••••• P••••••• G•• L•• · Manager
        indirect · owns F of C••••••••• C•••••• P•••••••• L••
      • C••••••••• C•••••• P••••••• L•••••• P••••••••• · Member
        indirect · owns 75% or more of C••••••••• C•••••• P•••••••• L••
      • C••••••••• C•••••• P•••••••• L•• · Member
        indirect · owns 75% or more of C••••••••• E••••• F••• I•• L•••••• P•••••••••
      • C••••••••• E••••• F••• I• G•• L•••••• P••••••••• · General Partner
        indirect · owns F of C••••••••• E••••• F••• I•• L•••••• P•••••••••
      • C••••••••• E••••• F••• I• G•• L•• · Member
        indirect · owns 75% or more of C••••••••• E••••• F••• I•• L•••••• P•••••••••
      • C••••••••• E••••• F••• I•• L•••••• P••••••••• · Member/Class A
        indirect · owns 75% or more of C• C•••••••• P••••• L••
      • W•••• A••••••••• H•••••••• L•• · Member
        indirect · owns 75% or more of W•• H•••••••• L••
      Related persons
      Schedule D 7.A
      • W•••• I•••••••• A••••••••• L••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Jan 22, 2021 to Mar 31, 2021
      • Discretionary RAUM · 0.0 to unset
        Jan 22, 2021 to Mar 31, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Jan 22, 2021 to Mar 31, 2021
      • RAUM · 0.0 to unset
        Jan 22, 2021 to Mar 31, 2021
      • Related adviser · false to true
        Sep 2, 2020 to Jan 22, 2021
      Signals
      7 dated events
      • Alexander Philip Nisbet (Chief Operations Officer And Director) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Thomas Richard Eknoian (Chief Executive Officer And Director) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Woosung Michael Choe (Manager) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • L D•••• Katz (Manager) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • Aaron Joshua Klevens (Manager) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • D•••• S•••••• (Manager) appeared on Schedule A of P••• G••••• A••••••• L••
        Jan 22, 2021 · Control person joined · fact
      • P••• G••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 2, 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