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•••••• C•••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 8, 2022 · 18 filings
SEC status approved since Mar 30, 2022
RAUM
$13.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$12.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$13.0M as of Mar 30, 2026
Mar 20, 2023$0 then
HNW client RAUM$10.1M as of Mar 30, 2026
Apr 18, 2024$1.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20230 then
Employees (5.A)4 as of Mar 30, 2026
Mar 20, 20230 then
Private funds: no history
RAUM +7.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.1%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
- +7.9%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$10.1M78%
- Individuals$2.0M15%
- Charitable organizations$918,3387.1%
- Corporations and businesses$28,6820.2%
- Individual clients
- 4reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• M••••••• C•••• · Co-President & Secretarycontrolsince 11/2021 · owns less than 5%
- M••••••••• I••• A••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- M••••• R•••••• B•••••• · Presidentcontrolsince 11/2021 · owns less than 5%
- T••••••••• A••• M••••••• · Vice President Of Operationscontrolsince 11/2021 · owns less than 5%
- A••••••• A•••••• C•••• · Shareholdercontrolsince 01/1997 · owns 50% to 75% of P•••••• M••••••••• A•• C••••••••• G••••• I••
- A••••••• S••••••• C••••••• · Shareholdercontrolsince 01/1997 · owns 50% to 75% of P•••••• M••••••••• A•• C••••••••• G••••• I••
- M••••• S••••• C••••••• · Executorcontrolsince 05/2019 · owns 75% or more of E••••• O• R••••• P• M••••
Entity owners
- M•••• A•••• M••••••••• I••• · Memberdirect · owns 50% to 75%
- P•••••• M••••••••• A•• C••••••••• G••••• I•• · Memberdirect · owns 50% to 75%
- E••••• O• R••••• P• M•••• · Shareholderindirect · owns 50% to 75% of M•••• A•••• M••••••••• I•••
Related persons
Schedule D 7.A
- M•••• A•••• M••••••••• I•••investment adviseryRAUM $534M
- P•••••• C•••••• A•••••••• I•••investment adviseryRAUM $1.3B
- P•••••• C•••••• S••••••••• L••investment adviseryRAUM $6.1M
- W••• S••••• M••••••••• C•••••••••investment advisery
Advisers that list P•••••• C•••••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 9Mar 31, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Mar 31, 2025 to Mar 30, 2026
- Corporate clients · unset to 1.0Mar 31, 2025 to Mar 30, 2026
- HNW clients · unset to 2.0Mar 31, 2025 to Mar 30, 2026
- Individual clients · unset to 4.0Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $12.0M to $13.0MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $11.1M to $10.1MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $886,685 to $2.0MMar 31, 2025 to Mar 30, 2026
- RAUM · $12.0M to $13.0MMar 31, 2025 to Mar 30, 2026
- Accounts · 4 to 7Jun 5, 2024 to Mar 31, 2025
- Financial planning clients · unset to Jun 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.1M to $12.0MJun 5, 2024 to Mar 31, 2025
- HNW RAUM · $1.1M to $11.1MJun 5, 2024 to Mar 31, 2025
- Individual RAUM · $1.1M to $886,685Jun 5, 2024 to Mar 31, 2025
- RAUM · $2.1M to $12.0MJun 5, 2024 to Mar 31, 2025
- Advisory employees · 0 to 3Apr 18, 2024 to Jun 5, 2024
- Advisory activities · 3 to 2Apr 18, 2024 to Jun 5, 2024
- Employees · 0 to 4Apr 18, 2024 to Jun 5, 2024
- Accounts · 0 to 4Sep 15, 2023 to Apr 18, 2024
- Discretionary RAUM · $0 to $2.1MSep 15, 2023 to Apr 18, 2024
- HNW RAUM · unset to 1053194.0Sep 15, 2023 to Apr 18, 2024
- Individual RAUM · unset to 1082182.0Sep 15, 2023 to Apr 18, 2024
- RAUM · $0 to $2.1MSep 15, 2023 to Apr 18, 2024
- Business name · P•••••• C•••••• M••••••••• L•• to P•••••• C•••••• A•••• M••••••••• L••Feb 8, 2022 to Feb 14, 2022
- Legal name · P•••••• C•••••• M••••••••• L•• to P•••••• C•••••• A•••• M••••••••• L••Feb 8, 2022 to Feb 14, 2022
Signals
3 dated events
- Marie Ellen Scambia (Chief Compliance Officer) no longer on Schedule A of P•••••• C•••••• A•••• M••••••••• L•• (listed 2022-03-22, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- Cummings Sarah Morse (Beneficiary) appeared on Schedule A of P•••••• C•••••• A•••• M••••••••• L••Mar 10, 2022 · Control person joined · fact
- P•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 8, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 347-960-4520reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-656-0700reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda 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