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•••••• H••••••• L••
Latest filing May 21, 2026
First filing on the tape Jun 28, 2024 · 5 filings
SEC status approved since Jul 29, 2024
RAUM
$564M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$564M as of May 21, 2026
Mar 31, 2025$595M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 21, 2026
Mar 31, 20250 then
Employees (5.A)5 as of May 21, 2026
Mar 31, 20255 then
Private funds8 as of May 21, 2026
Mar 31, 20258 then
RAUM -5.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 21, 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
- $70.5MderivedRAUM 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
- -5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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
- 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 discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$564M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• • | Private Equity Fund | $99.4M | 38 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $60.9M | 41 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $25.3M | 17 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $23.5M | 1 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $21.0M | 27 | Jun 11, 2021 |
| T•••• F••• I• L••no longer reported | Private Equity Fund | $18.7M | 8 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $15.4M | 38 | Mar 30, 2024 |
| F••• • | Private Equity Fund | $13.7M | 4 | Jun 11, 2021 |
| F••• • | Private Equity Fund | $8.5M | 29 | Mar 30, 2024 |
| T•••• F••• I•• L••no longer reported | Private Equity Fund | $6.1M | 10 | Jun 11, 2021 |
| L••••••••• A••••••••• C•••••• I•• I•••no longer reported | Private Equity Fund | $0 | 4 | Jun 11, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••• G••••• · Partnercontrolsince 07/2016 · owns less than 5%
- C••••• S••••• A•••• · Partnercontrolsince 07/2016 · owns less than 5%
- J••••••• J•••••• D•••• · Partnercontrolsince 07/2016 · owns less than 5%
- K•••• P••••• J••••••• · Chief Financial Officer & Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- L••••••• J••••••• · Partnercontrolsince 07/2016 · owns less than 5%
- B••••••• S•••• G••••• · Membercontrolsince 07/2016 · owns 25% to 50% of R•• C•••••• A•••••••• L••
- C••••• S••••• A•••• · Managing Membercontrolsince 07/2016 · owns 50% to 75% of C•• I••••••••• L••
- J••••••• J•••••• D•••• · Membercontrolsince 07/2016 · owns 25% to 50% of J•• C•••••• A•••••••• L••
- L••••••• J••••••• · Managing Membercontrolsince 07/2016 · owns 50% to 75% of C•• I••••••••• L••
Entity owners
- C•• I••••••••• L•• · Memberdirect · owns 50% to 75%
- J•• C•••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
- R•• C•••••• A•••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C•• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $533M
- C•• G••••• H••••••• L••bankn
- P•••••• C• M••••••••• L••investment adviserpooled vehicle sponsorn
- P•••••• W•••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Advisers that list P•••••• H••••••• L•• as a related person
- 290487 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $585M to $564MMay 9, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $585M to $564MMay 9, 2025 to Mar 31, 2026
- RAUM · $585M to $564MMay 9, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 9, 2025
- Discretionary RAUM · $595M to $585MMar 31, 2025 to May 9, 2025
- Pooled vehicle RAUM · $595M to $585MMar 31, 2025 to May 9, 2025
- RAUM · $595M to $585MMar 31, 2025 to May 9, 2025
- Private funds · 16 to 8Jun 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $268M to $595MJun 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $268M to $595MJun 28, 2024 to Mar 31, 2025
- RAUM · $268M to $595MJun 28, 2024 to Mar 31, 2025
Signals
2 dated events
- P•••••• H••••••• L•• reported RAUM $595.0M, up 122% from $268.3M (2024-06-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- P•••••• H••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• H••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••• H••••••• L•• · Private Equityshared crd · organization
- P•••••• H••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pondera-holdings-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- ponderaholdings.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-930-9050reportedpublic record, Form ADV, May 21, 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