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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••• C•••••• P••••••• L••
Latest filing Jul 2, 2026
First filing on the tape Apr 16, 2021 · 9 filings
SEC status approved since May 17, 2021
RAUM
$450M
reported, Item 5.F
Discretionary
11%
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
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$450M as of Jul 2, 2026
Mar 31, 2022$345M then
HNW client RAUM$0 as of Jul 2, 2026
Mar 31, 2022$0 then
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Mar 31, 20220 then
Employees (5.A)1 as of Jul 2, 2026
Mar 31, 20221 then
Private funds: no history
RAUM +14% over the last fiscal year+9.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 2026; 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
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 11%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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- publications, otherreportedItem 5.G
- 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
- Other investment advisers$450M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
- P••••• J••••• L••••••• · Managing Partner, Cio, Ccocontrolsince 01/2021 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Jul 2, 2026RAUM per account of $9,000,000 against a peer median of $1,020,417 (40 comparable advisers, 100.0th percentile, 5.4 robust deviations)peers: asset managers, $100M to $500M (40) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 50Mar 31, 2025 to Jul 2, 2026
- Discretionary RAUM · $0 to $50.0MMar 31, 2025 to Jul 2, 2026
- Non-discretionary RAUM · $450M to $400MMar 31, 2025 to Jul 2, 2026
- Accounts · 3 to 7Jul 8, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jul 8, 2024 to Mar 31, 2025
- HQ city · unset to Jul 8, 2024 to Mar 31, 2025
- HQ state · unset to Jul 8, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $395M to $450MJul 8, 2024 to Mar 31, 2025
- RAUM · $395M to $450MJul 8, 2024 to Mar 31, 2025
- Accounts · 4 to 3Aug 21, 2023 to Jul 8, 2024
- Advisory employees · 1 to 0Aug 21, 2023 to Jul 8, 2024
- Advisory activities · 1 to 2Aug 21, 2023 to Jul 8, 2024
- Employees · 3 to 1Aug 21, 2023 to Jul 8, 2024
- Non-discretionary RAUM · $980M to $395MAug 21, 2023 to Jul 8, 2024
- RAUM · $980M to $395MAug 21, 2023 to Jul 8, 2024
- Accounts · 2 to 4Apr 3, 2023 to Aug 21, 2023
- Employees · 1 to 3Apr 3, 2023 to Aug 21, 2023
- Non-discretionary RAUM · $580M to $980MApr 3, 2023 to Aug 21, 2023
- RAUM · $580M to $980MApr 3, 2023 to Aug 21, 2023
- Related broker-dealer · true to falseApr 3, 2023 to Aug 21, 2023
- Accounts · 1 to 2Dec 16, 2022 to Apr 3, 2023
- Financial planning clients · unset to 0Dec 16, 2022 to Apr 3, 2023
- Non-discretionary RAUM · $345M to $580MDec 16, 2022 to Apr 3, 2023
- RAUM · $345M to $580MDec 16, 2022 to Apr 3, 2023
- Non-discretionary RAUM · $926M to $345MJun 1, 2021 to Mar 31, 2022
- RAUM · $926M to $345MJun 1, 2021 to Mar 31, 2022
Signals
5 dated events
- P•••• C•••••• P••••••• L•• reported RAUM $395.0M, down 60% from $980.0M (2023-08-21 to 2024-07-08)Jul 8, 2024 · RAUM change · derived
- P•••• C•••••• P••••••• L•• reported RAUM $980.0M, up 69% from $580.0M (2023-04-03 to 2023-08-21)Aug 21, 2023 · RAUM change · derived
- P•••• C•••••• P••••••• L•• reported RAUM $580.0M, up 68% from $345.2M (2022-12-16 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- P•••• C•••••• P••••••• L•• reported RAUM $345.2M, down 63% from $926.1M (2021-06-01 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- P•••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 2021 · 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 18, 2026
- Principal office phone
- 847-668-1560reportedpublic record, Form ADV, Jul 2, 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