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
R•••••••• C•••••• A•••••••• L••
Latest filing May 20, 2026
First filing on the tape Apr 13, 2022 · 9 filings
SEC status approved since May 13, 2022
RAUM
$288M
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
10
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$288M as of May 20, 2026
Mar 31, 2023$265M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 20, 2026
Mar 31, 20230 then
Employees (5.A)10 as of May 20, 2026
Mar 31, 20236 then
Private funds3 as of May 20, 2026
Mar 31, 20233 then
RAUM -3.1% over the last fiscal year+2.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 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
- $96.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.1%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 pooled vehiclesreportedItem 5.G
- Custody
- $288M, 3 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
- 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$288M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $288M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• O••••••••• F••• I• L• | Other Private Fund | $187M | 34 | Sep 9, 2022 |
| P•• C••••••• I••••• F••• O••••••• L•• | Other Private Fund | $50.8M | 2 | Sep 9, 2022 |
| P•• C••••••• I••••• F••• O•••••••• L•• | Other Private Fund | $27.7M | 1 | Sep 9, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••••• H••••• · Co-Chief Executive Officercontrolsince 04/2022 · owns less than 5%
- C•••••••• A•••••• N•••••• · Chief Financial Officer, Chief Compliance Officer & Secretarycontrolsince 04/2022 · owns less than 5%
- W•••• C••••••• C•••• · Co-Chief Executive Officercontrolsince 04/2022 · owns less than 5%
Entity owners
- P•• H•••••••• I••• · Memberdirect · owns 75% or more
- P••• I••• · Memberindirect · owns 75% or more of P•• H•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A•• H••• C•••••• I• G•• L••pooled vehicle sponsorn
- B•••••••• C•••••• P•••••••investment advisernRAUM $4.2B
- B•••••••• C•••••• C•••••• I• S•• R•••pooled vehicle sponsorn
- B•••••••• C•••••• C•••••• I•• L••pooled vehicle sponsorn
- B•••••••• C•••••• C••••••• L•••pooled vehicle sponsorn
- C•• E•••••••• F••• I• C••••••••• G•• L••pooled vehicle sponsorn
- E••••••• C•••••• P•••••••• L••investment advisernRAUM $786M
- F••• P••••• A••••••• I••• L•pooled vehicle sponsorn
- F••• P••••• A••••••• I•• L•pooled vehicle sponsorn
- F••• P••••• C•••••• L••investment advisernRAUM $1.4B
- F••• P••••• E••••• A••••••• I•• L••pooled vehicle sponsorn
- F••• P••••• M••••••••• I••• L••pooled vehicle sponsorn
- F••• P••••• M••••••••• I•• L••pooled vehicle sponsorn
- F••• P••••• M•••••••• A••••••• I••• L••pooled vehicle sponsorn
- F•••••• E••••• A•••••••• L••pooled vehicle sponsorn
- F• C••••• S••• G• I•• L••pooled vehicle sponsorn
- H••• C•••••• A•••••••• L••investment advisern
- H••• C•••••• I•• G•• L••pooled vehicle sponsorn
- H••• C•••••• I• G•• L••pooled vehicle sponsorn
- P•• A••••••• B••••• C••••••••• F••• I• G•• S•• R•••pooled vehicle sponsorn
- P••••••• A•••••••• L••pooled vehicle sponsorn
- R•• A••••••• 2• L••investment advisernRAUM $18B
- R•• A••••••• 3• L••investment advisern
- R•• A••••••• S•• I••• L••pooled vehicle sponsorn
- R•• A••••••• X•• ••• G•• S•••••••pooled vehicle sponsorn
- R•• A••••••• X••• L••pooled vehicle sponsorn
- R•• A••••••• X••• ••• G•• S•• R•••pooled vehicle sponsorn
- R•• A••••••• X•••• L••pooled vehicle sponsorn
- R•• A•••••••• L••investment advisernRAUM $21.0M
- R•• E•••••• G•• L••pooled vehicle sponsorn
Advisers that list R•••••••• C•••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing May 20, 2026related persons on Schedule D 7.A of 72.0 against a peer median of 5.0 (488 comparable advisers, 100.0th percentile, 22.6 robust deviations)peers: asset managers, $100M to $500M (488) · 100% percentile
What changed
consecutive filings, newest first
- Business name · P•• A•••••••• L•• to R•••••••• C•••••• A•••••••• L••Jul 22, 2025 to Mar 27, 2026
- Assets in custody · $298M to $288MJul 22, 2025 to Mar 27, 2026
- Legal name · P•• A•••••••• L•• to R•••••••• C•••••• A•••••••• L••Jul 22, 2025 to Mar 27, 2026
- Discretionary RAUM · $298M to $288MJul 22, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $298M to $288MJul 22, 2025 to Mar 27, 2026
- RAUM · $298M to $288MJul 22, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0May 16, 2025 to Jul 22, 2025
- Advisory employees · 3 to 1Mar 29, 2024 to Mar 25, 2025
- Assets in custody · $265M to $298MMar 29, 2024 to Mar 25, 2025
- Employees · 6 to 10Mar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $270M to $298MMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $270M to $298MMar 29, 2024 to Mar 25, 2025
- RAUM · $270M to $298MMar 29, 2024 to Mar 25, 2025
- Discretionary RAUM · $265M to $270MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $265M to $270MMar 31, 2023 to Mar 29, 2024
- RAUM · $265M to $270MMar 31, 2023 to Mar 29, 2024
- Assets in custody · $230M to $265MSep 9, 2022 to Mar 31, 2023
- Discretionary RAUM · $230M to $265MSep 9, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $230M to $265MSep 9, 2022 to Mar 31, 2023
- RAUM · $230M to $265MSep 9, 2022 to Mar 31, 2023
- Accounts · 0 to 3Apr 13, 2022 to Sep 9, 2022
- Advisory employees · 6 to 3Apr 13, 2022 to Sep 9, 2022
- Pooled vehicle clients · unset to 3.0Apr 13, 2022 to Sep 9, 2022
- Assets in custody · unset to 230219000.0Apr 13, 2022 to Sep 9, 2022
- Custody of client assets · false to trueApr 13, 2022 to Sep 9, 2022
- Financial planning clients · unset to 0Apr 13, 2022 to Sep 9, 2022
- Private funds · unset to 3Apr 13, 2022 to Sep 9, 2022
- Discretionary RAUM · $0 to $230MApr 13, 2022 to Sep 9, 2022
- Pooled vehicle RAUM · unset to 230219000.0Apr 13, 2022 to Sep 9, 2022
- RAUM · $0 to $230MApr 13, 2022 to Sep 9, 2022
Signals
1 dated events
- P•• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 13, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-999-6063reportedpublic record, Form ADV, May 20, 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