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.
SEC-registered adviser
The Phoenix Fund Advisor LLC
Latest filing Oct 13, 2025
First filing on the tape Jun 26, 2023 · 5 filings
SEC status approved since Jul 26, 2023
RAUM
$596M
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
15
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$596M as of Oct 13, 2025
Mar 21, 2024$604M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 13, 2025
Mar 21, 20240 then
Employees (5.A)15 as of Oct 13, 2025
Mar 21, 202415 then
Private funds1 as of Oct 13, 2025
Mar 21, 20241 then
RAUM -1.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 13, 2025; 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
- $298MderivedRAUM 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
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $596M, 2 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 discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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$596M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $596M for 2 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The Phoenix Fund, LLC | Private Equity Fund | $604M | 51 | Jun 26, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Jose Francisco Rivera Fernandez · Membercontrolsince 04/2017 · owns 75% or more of Pariter Advisors LLC
- Antonio Luis Jimenez · Chief Compliance Officersince 06/2023 · owns less than 5%
- Jose Francisco Rivera Fernandez · Chairman & Chief Executive Officersince 12/2017 · owns less than 5%
- J Edgar Rivera · General Counselsince 12/2017 · owns less than 5%
- Andres Carlos Vina-Toro · Financial & Administrative Directorsince 01/2024 · owns less than 5%
Entity owners
- Pariter Advisors LLC · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Pariter Securities, LLCbroker-dealern
- Pariter Wealth Management Group LLCinvestment advisernRAUM $41.2M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 21, 2024 to Apr 1, 2025
- Assets in custody · $604M to $596MMar 21, 2024 to Apr 1, 2025
- Financial planning clients · unset to Mar 21, 2024 to Apr 1, 2025
- Discretionary RAUM · $604M to $596MMar 21, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $604M to $596MMar 21, 2024 to Apr 1, 2025
- RAUM · $604M to $596MMar 21, 2024 to Apr 1, 2025
- Pooled vehicle clients · 1 to 2Aug 17, 2023 to Mar 21, 2024
- Assets in custody · $355M to $604MAug 17, 2023 to Mar 21, 2024
- Employees · 10 to 15Aug 17, 2023 to Mar 21, 2024
- Discretionary RAUM · $350M to $604MAug 17, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $350M to $604MAug 17, 2023 to Mar 21, 2024
- RAUM · $350M to $604MAug 17, 2023 to Mar 21, 2024
Signals
2 dated events
- The Phoenix Fund Advisor Llc reported RAUM $604.0M, up 73% from $349.6M (2023-08-17 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- The Phoenix Fund Advisor Llc filed its initial SEC registration (Form ADV)Jun 26, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- The Phoenix Fund Advisor LLC · Independent Sponsorsshared crd · capital_provider
- The Phoenix Fund Advisor LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- phoenixfund.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 787-510-6600reportedpublic record, Form ADV, Oct 13, 2025
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