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••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 3, 2021 · 13 filings
SEC status approved since Sep 3, 2021
RAUM
$22.2M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$22.2M as of Mar 31, 2026
Feb 24, 2022$297M then
HNW client RAUM: $0
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 24, 20223 then
Employees (5.A)5 as of Mar 31, 2026
Feb 24, 20225 then
Private funds1 as of Mar 31, 2026
Feb 24, 20221 then
RAUM -11% over the last fiscal year-50% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $11.1MderivedRAUM 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
- $22.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $22.2M, 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$22.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $22.2M for 1 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••• C•••••• L•• | Other Private Fund | $26.1M | 3 | Apr 27, 2021 |
Owners and control persons
Schedule A and B, latest filing
- H•••• W••••••• H•••• · Membercontrolsince 08/2020 · owns 25% to 50%
- H•••••• J•••• M•••••• · Coocontrolsince 08/2020 · owns less than 5%
- J••••••• S••••••••• K••• · Cfocontrolsince 08/2020 · owns less than 5%
- S•••••• V••••••••• A•••••• · Membercontrolsince 08/2020 · owns 25% to 50%
- W•••••••• B••••• T••••• · Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
Entity owners
- E••••• O• B••••••• T••••• E•••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- F•••• S•••••••• L••broker-dealerreal estaten
- F••• L••investment advisernRAUM $138M
- P•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $191M
- P•••••• I••••••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $1.2B
- P•••••• R••• E••••• C•••••• P•••••••• L••pooled vehicle sponsorn
Advisers that list P••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 2 to 5Apr 1, 2025 to Mar 31, 2026
- Assets in custody · $25.0M to $22.2MApr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $25.0M to $22.2MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Individual RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Pension RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $25.0M to $22.2MApr 1, 2025 to Mar 31, 2026
- RAUM · $25.0M to $22.2MApr 1, 2025 to Mar 31, 2026
- Assets in custody · $26.1M to $25.0MFeb 24, 2025 to Apr 1, 2025
- Financial planning clients · unset to 0Feb 24, 2025 to Apr 1, 2025
- Discretionary RAUM · $26.1M to $25.0MFeb 24, 2025 to Apr 1, 2025
- Pooled vehicle RAUM · $26.1M to $25.0MFeb 24, 2025 to Apr 1, 2025
- RAUM · $26.1M to $25.0MFeb 24, 2025 to Apr 1, 2025
- Advisory employees · 3 to 2Mar 29, 2024 to Nov 11, 2024
- BD registered reps · 5 to 2Mar 29, 2024 to Nov 11, 2024
- Assets in custody · $41.7M to $26.1MMar 29, 2024 to Nov 11, 2024
- Insurance-licensed employees · 3 to 2Mar 29, 2024 to Nov 11, 2024
- State-registered IARs · 3 to 2Mar 29, 2024 to Nov 11, 2024
- Discretionary RAUM · $38.0M to $26.1MMar 29, 2024 to Nov 11, 2024
- Pooled vehicle RAUM · $0 to $26.1MMar 29, 2024 to Nov 11, 2024
- RAUM · $38.0M to $26.1MMar 29, 2024 to Nov 11, 2024
- Accounts · 2 to 1Apr 17, 2023 to Mar 29, 2024
- Financial planning clients · 0 to unsetApr 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $175M to $38.0MApr 17, 2023 to Mar 29, 2024
- RAUM · $175M to $38.0MApr 17, 2023 to Mar 29, 2024
- Accounts · 1 to 2Oct 18, 2022 to Apr 3, 2023
- Discretionary RAUM · $297M to $175MOct 18, 2022 to Apr 3, 2023
- Pooled vehicle RAUM · $41.7M to $0Oct 18, 2022 to Apr 3, 2023
- RAUM · $297M to $175MOct 18, 2022 to Apr 3, 2023
- Accounts · 2 to 1Aug 3, 2021 to Feb 23, 2022
- Pooled vehicle clients · 2 to 1Aug 3, 2021 to Feb 23, 2022
- Assets in custody · $55.8M to $41.7MAug 3, 2021 to Feb 23, 2022
- Private funds · 4 to 1Aug 3, 2021 to Feb 23, 2022
- Discretionary RAUM · $55.8M to $297MAug 3, 2021 to Feb 23, 2022
- Pooled vehicle RAUM · $55.8M to $41.7MAug 3, 2021 to Feb 23, 2022
- RAUM · $55.8M to $297MAug 3, 2021 to Feb 23, 2022
Signals
7 dated events
- Taylor Brent Williams (Chief Compliance Officer) appeared on Schedule A of P••• M••••••••• L••Dec 20, 2024 · Control person joined · fact
- John Mathew Calabro (Interim Cco) no longer on Schedule A of P••• M••••••••• L•• (listed 2024-11-11, absent 2024-12-20)Dec 20, 2024 · Control person left · inference
- John Mathew Calabro (Interim Cco) appeared on Schedule A of P••• M••••••••• L••Nov 11, 2024 · Control person joined · fact
- P••• M••••••••• L•• reported RAUM $38.0M, down 78% from $174.6M (2023-04-17 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- P••• M••••••••• L•• reported RAUM $174.6M, down 41% from $297.2M (2022-10-18 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- P••• M••••••••• L•• reported RAUM $297.2M, up 433% from $55.8M (2021-08-03 to 2022-02-23)Feb 23, 2022 · RAUM change · derived
- P••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 3, 2021 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- P••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 770-777-9373reportedpublic 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
- 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