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•••
Legal name P•••••••• U• S•••••••• L••
Latest filing Aug 19, 2024
First filing on the tape Oct 22, 2021 · 12 filings
SEC status approved since Nov 19, 2021
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$528M as of May 1, 2024
Mar 15, 2022$4.0M then
HNW client RAUM$0 as of May 1, 2024
Mar 15, 2022$0 then
State-registered IARs (5.B.3)0 as of May 1, 2024
Mar 15, 20220 then
Employees (5.A)18 as of May 1, 2024
Mar 15, 202215 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Aug 19, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- +47%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- A••••• T••••• G••••••••• to B••••• H••••• G••••• I••••••••Oct 9, 2023 · Other
Joined, latest
- A••••• T••••• G••••••••• from A••••••• B••••• A•••••••• I•••Apr 22, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C••••••••• M••• · Chief Compliance Officer, Director P•••••••• US Holding Companycontrolsince 02/2022 · owns less than 5%
- G••••• C••••••••• J••••• K•••• · Officer, Director P•••••••• US Holding Companycontrolsince 03/2020 · owns less than 5%
- J••••••• G•••• R• · Head Of Distribution, P•••••••• Americascontrolsince 06/2023 · owns less than 5%
- L• P••••• A••••• J•• · Officer, Director P•••••••• US Holding Companycontrolsince 08/2023 · owns less than 5%
Entity owners
- P•••••••• U• H•••••• C••••••• I••• · Holding Company, Sole Memberdirect · owns 75% or more
- P•••••••• A••••••••• C•••••• L•• · Shareholderindirect · owns 75% or more of P•••••••• U• H•••••• C••••••• I•••
- P•••••••• L••• · Shareholderindirect · owns 75% or more of P•••••••• A••••••••• C•••••• L••
Related persons
Schedule D 7.A
- B••••• H••••• G••••• I••••••••investment adviserpooled vehicle sponsornRAUM $59B
- J•••• •••• I••investment adviserpooled vehicle sponsornRAUM $9.0B
- P•••••••• I••••••••• M••••••••• L••••••investment advisern
- T••••••• S••••• • W••••••• L••investment adviserpooled vehicle sponsornRAUM $21B
- T••••••• A•••• M•••••••••investment adviserpooled vehicle sponsornRAUM $4.3B
Advisers that list P••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7.0 to unsetMay 1, 2024 to Aug 19, 2024
- Advisory employees · 3 to 0May 1, 2024 to Aug 19, 2024
- BD registered reps · 6 to 4May 1, 2024 to Aug 19, 2024
- Employees · 18 to 17May 1, 2024 to Aug 19, 2024
- Discretionary RAUM · 528417879.0 to unsetMay 1, 2024 to Aug 19, 2024
- Non-discretionary RAUM · 0.0 to unsetMay 1, 2024 to Aug 19, 2024
- RAUM · 528417879.0 to unsetMay 1, 2024 to Aug 19, 2024
- BD registered reps · 11 to 6Aug 8, 2023 to Mar 25, 2024
- Employees · 21 to 18Aug 8, 2023 to Mar 25, 2024
- State-registered IARs · 1 to 0Aug 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $360M to $528MAug 8, 2023 to Mar 25, 2024
- RAUM · $360M to $528MAug 8, 2023 to Mar 25, 2024
- Employees · 20 to 21Feb 1, 2023 to Mar 13, 2023
- Discretionary RAUM · $386M to $360MFeb 1, 2023 to Mar 13, 2023
- RAUM · $386M to $360MFeb 1, 2023 to Mar 13, 2023
- Accounts · 2 to 7Mar 22, 2022 to Feb 1, 2023
- BD registered reps · 10 to 11Mar 22, 2022 to Feb 1, 2023
- Employees · 15 to 20Mar 22, 2022 to Feb 1, 2023
- State-registered IARs · 0 to 1Mar 22, 2022 to Feb 1, 2023
- Discretionary RAUM · $4.0M to $386MMar 22, 2022 to Feb 1, 2023
- RAUM · $4.0M to $386MMar 22, 2022 to Feb 1, 2023
- Accounts · unset to 2.0Nov 18, 2021 to Mar 15, 2022
- Advisory employees · 4 to 3Nov 18, 2021 to Mar 15, 2022
- BD registered reps · 6 to 10Nov 18, 2021 to Mar 15, 2022
- Employees · 10 to 15Nov 18, 2021 to Mar 15, 2022
- Insurance-licensed employees · 5 to 0Nov 18, 2021 to Mar 15, 2022
- State-registered IARs · 6 to 0Nov 18, 2021 to Mar 15, 2022
- Discretionary RAUM · unset to 3982000.0Nov 18, 2021 to Mar 15, 2022
- Non-discretionary RAUM · unset to 0.0Nov 18, 2021 to Mar 15, 2022
- RAUM · unset to 3982000.0Nov 18, 2021 to Mar 15, 2022
Signals
18 dated events
- Pgia no longer on the SEC adviser roster (last listed 2025-02-03)Mar 6, 2025 · Left the SEC roster · derived
- Pgia reported RAUM $528.4M, up 47% from $360.2M (2023-08-08 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- A••••• T••••• G••••••••• left Pgia for B••••• H••••• G••••• I•••••••• (registered 2023-10-10)Oct 9, 2023 · Advisor changed firm · fact
- A••••• David Lane (Vice President) no longer on Schedule A of Pgia (listed 2023-03-31, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- William R••••• Adams (Officer) no longer on Schedule A of Pgia (listed 2023-03-31, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- H R••••• K••••• (Chief Operating Officer) no longer on Schedule A of Pgia (listed 2023-03-31, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- R. Gene Janvier (Head Of Distribution, Perpetual Americas) appeared on Schedule A of PgiaAug 8, 2023 · Control person joined · fact
- Jay A••• Lo P•••• (Officer, Director Perpetual Us Holding Company) appeared on Schedule A of PgiaAug 8, 2023 · Control person joined · fact
- Spurgeon Charles Thompson (President- Head Of Distribution) no longer on Schedule A of Pgia (listed 2023-03-13, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- William Matthew Patsky (Vice President) no longer on Schedule A of Pgia (listed 2022-03-22, absent 2023-02-01)Feb 1, 2023 · Control person left · inference
- H R••••• K••••• (Chief Operating Officer) appeared on Schedule A of PgiaFeb 1, 2023 · Control person joined · fact
- Mark C••••••••• Golden (Chief Compliance Officer, Senior Manager, Legal And Compliance) appeared on Schedule A of PgiaMar 15, 2022 · Control person joined · fact
- J••••• K•••• C••••••••• G•••• (President) appeared on Schedule A of PgiaMar 15, 2022 · Control person joined · fact
- A••••• David Lane (Vice President) appeared on Schedule A of PgiaMar 15, 2022 · Control person joined · fact
- William Matthew Patsky (Vice President) appeared on Schedule A of PgiaMar 15, 2022 · Control person joined · fact
- William R••••• Adams (Officer) appeared on Schedule A of PgiaMar 15, 2022 · Control person joined · fact
- Inter Nancy Denney (Chief Compliance Officer) no longer on Schedule A of Pgia (listed 2021-11-18, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- Pgia filed its initial SEC registration (Form ADV)Oct 22, 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