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.
Former SEC-registered adviser
P••• F••••••• I•••
Latest filing Jun 11, 2022
First filing on the tape Aug 3, 2021 · 7 filings
RAUM
$53.7M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$53.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$53.7M as of Jun 11, 2022
Mar 29, 2022$53.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 11, 2022
Aug 3, 20211 then
Employees (5.A)3 as of Jun 11, 2022
Aug 3, 20213 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 11, 2022; every figure names its basis
- RAUM per advisor
- $53.7MderivedRAUM 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
- $121,809derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$53.7M100%
- Individual clients
- 441reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 441reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• P•••••• Y••• · Presidentcontrolsince 06/2021 · owns less than 5%
- E••••• S••••••• E•••• · Chief Compliance Officercontrolsince 06/2021 · owns less than 5%
- C••••••••• P•••••• Y••• · Partnercontrolsince 06/2021 · owns 25% to 50% of E•• H••••••• L••
- C••••• P••••• J••••• · Partnercontrolsince 06/2021 · owns 25% to 50% of E•• H••••••• L••
- E••••• S••••••• E•••• · Partnercontrolsince 06/2021 · owns 25% to 50% of E•• H••••••• L••
- T•••••••• E•••••• R••••• · Partnercontrolsince 06/2021 · owns 25% to 50% of E•• H••••••• L••
Entity owners
- E•• H••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••••••• A•••• I••••••••• L••investment adviseryRAUM $3.5B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · P•••• L•• to P••• F••••••• I•••May 24, 2022 to Jun 11, 2022
- Legal name · P•••• L•• to P••• F••••••• I•••May 24, 2022 to Jun 11, 2022
- Organization form · Corporation to Limited Liability CompanyMay 24, 2022 to Jun 11, 2022
- Succession · true to falseMay 24, 2022 to Jun 11, 2022
- Organization form · Limited Liability Company to CorporationMar 29, 2022 to May 24, 2022
- Succession · false to trueMar 29, 2022 to May 24, 2022
- Accounts · unset to 441.0Jan 3, 2022 to Mar 29, 2022
- Individual clients · 76 to 441Jan 3, 2022 to Mar 29, 2022
- HQ city · unset to NEW YORKJan 3, 2022 to Mar 29, 2022
- HQ state · unset to NYJan 3, 2022 to Mar 29, 2022
- Discretionary RAUM · unset to 0.0Jan 3, 2022 to Mar 29, 2022
- Individual RAUM · $0 to $53.7MJan 3, 2022 to Mar 29, 2022
- Non-discretionary RAUM · unset to 53717953.0Jan 3, 2022 to Mar 29, 2022
- RAUM · unset to 53717953.0Jan 3, 2022 to Mar 29, 2022
- Individual clients · 0 to 76Sep 3, 2021 to Jan 3, 2022
- Individual RAUM · unset to 0.0Sep 3, 2021 to Jan 3, 2022
Signals
2 dated events
- P•••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 24, 2022 · Succession (Item 4) · fact
- P•••• L•• filed its initial SEC registration (Form ADV)Aug 3, 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