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•••• S••••••••• I••••••••• M••••••••• I•••
Latest filing May 14, 2024
First filing on the tape Apr 19, 2021 · 12 filings
SEC status approved since May 20, 2021
RAUM
$515M
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
41
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$43.0M gross assets
History
12 filings and snapshots on the tape
RAUM$515M as of Mar 29, 2024
Mar 30, 2022$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 30, 20220 then
Employees (5.A)41 as of Mar 29, 2024
Mar 30, 202240 then
Private funds1 as of Mar 29, 2024
Mar 30, 20221 then
RAUM -22% over the last fiscal yearIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of May 14, 2024; 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
- $85.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween 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 vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$469M91%
- Pooled investment vehicles$46.5M9.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• S••••••••• C•••• A••••••• C••• S•••••••• A• S••••••• O• P•••• P•••••• O••••••••• F•••• I••• | Hedge Fund | $43.0M | 3 | Apr 19, 2021 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••• · General Counselcontrolsince 11/2018 · owns less than 5%
- G••••••• D••••••• N•• · Director And Chief Financial Officercontrolsince 08/2022 · owns less than 5%
- H••• B••••• M•• J•• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- D••••••••• A••••• R•••• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• P•••• G•• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D•••• G•••• A••••• · Trusteecontrolsince 05/2023 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- F••••••• G••••••• J•••• · Trusteecontrolsince 02/2024 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- H••• W•••••• N•• · Directorsince 08/2022 · owns less than 5%
- L••• Y••••• · Directorsince 11/2018 · owns less than 5%
- D••••••••• S•••••• C••••••• · Trustee, Non-Votingsince 03/2018 · owns F of T•• D•••••••• F••••• R•••••••• T••••
Entity owners
- P•••• S••••••••• C•••••• I••• · Shareholderdirect · owns 75% or more
- P•••••• H•••••• I••• · Shareholderindirect · owns 50% to 75% of P•••• C••••••••• O• C•••••
- P•••• C••••••••• O• C••••• · Shareholderindirect · owns 75% or more of P•••• S••••••••• C•••••• I•••
- T•• D•••••••• F••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of P•••••• H•••••• I•••
Related persons
Schedule D 7.A
- P•••• S••••••••• C•••• A••••••• C••• S••••••• ••• G•• L••pooled vehicle sponsory
- P•••• S••••••••• C•••• A••••••• C••• S••••••• G• I•••pooled vehicle sponsory
- P•••• S••••••••• I••••••••• C••••• M••••••• L•••investment advisern
- P•••• S••••••••• M•••••• U•• I•••investment advisernRAUM $1.1B
Offices
Schedule D 1.F, the 25 largest
- Shanghai, China8 employees
What changed
consecutive filings, newest first
- Advisory employees · 13 to 12Apr 19, 2023 to Mar 29, 2024
- Employees · 40 to 41Apr 19, 2023 to Mar 29, 2024
- Other offices · 2 to 1Apr 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $663M to $515MApr 19, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $63.1M to $46.5MApr 19, 2023 to Mar 29, 2024
- RAUM · $663M to $515MApr 19, 2023 to Mar 29, 2024
- Discretionary RAUM · $658M to $663MDec 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $63.8M to $63.1MDec 20, 2022 to Mar 31, 2023
- RAUM · $658M to $663MDec 20, 2022 to Mar 31, 2023
- Assets in custody · 129303434.0 to unsetDec 13, 2022 to Dec 20, 2022
- Custody of client assets · true to falseDec 13, 2022 to Dec 20, 2022
- Assets in custody · unset to 129303434.0Dec 2, 2022 to Dec 13, 2022
- Custody of client assets · false to trueDec 2, 2022 to Dec 13, 2022
- Accounts · 32 to 6May 2, 2022 to Dec 2, 2022
- Pooled vehicle clients · 30 to 4May 2, 2022 to Dec 2, 2022
- Discretionary RAUM · $1.0B to $658MMay 2, 2022 to Dec 2, 2022
- Pooled vehicle RAUM · $93.3M to $63.8MMay 2, 2022 to Dec 2, 2022
- RAUM · $1.0B to $658MMay 2, 2022 to Dec 2, 2022
- Accounts · 5 to 32Mar 3, 2022 to Mar 30, 2022
- Business name · P•••• P•••••• I••••••••• M••••••••• I••• to P•••• S••••••••• I••••••••• M••••••••• I•••Mar 3, 2022 to Mar 30, 2022
- Corporate clients · 1 to 2Mar 3, 2022 to Mar 30, 2022
- Pooled vehicle clients · 4 to 30Mar 3, 2022 to Mar 30, 2022
- Employees · 32 to 40Mar 3, 2022 to Mar 30, 2022
- Legal name · P•••• P•••••• I••••••••• M••••••••• I••• to P•••• S••••••••• I••••••••• M••••••••• I•••Mar 3, 2022 to Mar 30, 2022
- Discretionary RAUM · $836M to $1.0BMar 3, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $77.1M to $93.3MMar 3, 2022 to Mar 30, 2022
- RAUM · $836M to $1.0BMar 3, 2022 to Mar 30, 2022
Signals
10 dated events
- P•••• S••••••••• I••••••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $515.2M)May 2, 2025 · Left the SEC roster · derived
- Guy Fortin (Trustee) no longer on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I••• (listed 2023-04-19, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- James Gregory Fleming (Trustee) appeared on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I•••Mar 29, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I•••Mar 29, 2024 · Control person joined · fact
- Michel Plessis-Belair (Trustee) no longer on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I••• (listed 2023-04-19, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- A••••• B•••••• (Director) no longer on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I••• (listed 2023-03-31, absent 2023-04-19)Apr 19, 2023 · Control person left · inference
- P•••• S••••••••• I••••••••• M••••••••• I••• reported RAUM $657.9M, down 35% from $1.0B (2022-05-02 to 2022-12-02)Dec 2, 2022 · RAUM change · derived
- Nmn D•••••• G•••••• (Chief Financial Officer) appeared on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I•••Dec 2, 2022 · Control person joined · fact
- May Jan B•••• Hum (Chief Compliance Officer) appeared on Schedule A of P•••• S••••••••• I••••••••• M••••••••• I•••Mar 30, 2022 · Control person joined · fact
- P•••• P•••••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Apr 19, 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.
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