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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Former SEC-registered adviser
P••••• A•••• P••••••• L••
Latest filing Oct 1, 2024
First filing on the tape Jan 18, 2022 · 10 filings
SEC status approved since Feb 18, 2022
RAUM
$526M
reported, Item 5.F
Discretionary
94%
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$526M as of Jun 24, 2024
Jun 23, 2022$652M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jun 24, 2024
Jun 23, 20220 then
Employees (5.A)7 as of Jun 24, 2024
Jun 23, 20228 then
Private funds1 as of Jun 30, 2023
Jun 23, 20221 then
RAUM +9.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 1, 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
- $52.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- +9.3%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 businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$453M86%
- Corporations and businesses$72.6M14%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• A••••••• R••••• M••••• F••• L••••••no longer reported | Hedge Fund | $68.1M | 8 | Jul 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••• N••••• · Chief Compliance Officer, Chief Operating Officer, L•••••• Partnercontrolsince 06/2022 · owns less than 5%
- P••••••••• H••••• A•••••••• R•••••••• · Chief Executive Officer, L•••••• Partnercontrolsince 05/2021 · owns 10% to 25%
- P••••• R•••••• N•••••••• · L•••••• Partnercontrolsince 05/2021 · owns 10% to 25%
- S••••• W••••••• J•••• P••••••••• · L•••••• Partnercontrolsince 05/2021 · owns 10% to 25%
- V•••••• R••••• · Chief Investment Officer, L•••••• Partnercontrolsince 05/2021 · owns 50% to 75%
- W••••••••• K••••• M••••• · L•••••• Partnercontrolsince 09/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 10 to 9Jun 24, 2024 to Oct 1, 2024
- Pooled vehicle RAUM · $526M to $453MJun 24, 2024 to Oct 1, 2024
- Accounts · 7 to 10Jun 30, 2023 to Jun 24, 2024
- Advisory employees · 6 to 5Jun 30, 2023 to Jun 24, 2024
- Charity clients · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Corporate clients · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- HNW clients · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Individual clients · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Pension plan clients · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Pooled vehicle clients · 7 to 10Jun 30, 2023 to Jun 24, 2024
- Assets in custody · 68066574.0 to unsetJun 30, 2023 to Jun 24, 2024
- Custody of client assets · true to falseJun 30, 2023 to Jun 24, 2024
- Employees · 8 to 7Jun 30, 2023 to Jun 24, 2024
- Private funds · 1 to unsetJun 30, 2023 to Jun 24, 2024
- Discretionary RAUM · $462M to $495MJun 30, 2023 to Jun 24, 2024
- HNW RAUM · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Individual RAUM · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Non-discretionary RAUM · $19.6M to $31.0MJun 30, 2023 to Jun 24, 2024
- Pension RAUM · unset to 0.0Jun 30, 2023 to Jun 24, 2024
- Pooled vehicle RAUM · $481M to $526MJun 30, 2023 to Jun 24, 2024
- RAUM · $481M to $526MJun 30, 2023 to Jun 24, 2024
- Accounts · 6 to 7Jun 23, 2022 to Jun 30, 2023
- Pooled vehicle clients · 6 to 7Jun 23, 2022 to Jun 30, 2023
- Assets in custody · unset to 68066574.0Jun 23, 2022 to Jun 30, 2023
- Custody of client assets · false to trueJun 23, 2022 to Jun 30, 2023
- Discretionary RAUM · $652M to $462MJun 23, 2022 to Jun 30, 2023
- Non-discretionary RAUM · $0 to $19.6MJun 23, 2022 to Jun 30, 2023
- Pooled vehicle RAUM · $652M to $481MJun 23, 2022 to Jun 30, 2023
- RAUM · $652M to $481MJun 23, 2022 to Jun 30, 2023
- Advisory employees · 8 to 6Apr 29, 2022 to Jun 23, 2022
- Discretionary RAUM · $261M to $652MApr 29, 2022 to Jun 23, 2022
- Pooled vehicle RAUM · $261M to $652MApr 29, 2022 to Jun 23, 2022
- RAUM · $261M to $652MApr 29, 2022 to Jun 23, 2022
- Accounts · unset to 6.0Jan 19, 2022 to Apr 20, 2022
- Pooled vehicle clients · unset to 6.0Jan 19, 2022 to Apr 20, 2022
- Private funds · unset to 1Jan 19, 2022 to Apr 20, 2022
- Discretionary RAUM · unset to 261463816.0Jan 19, 2022 to Apr 20, 2022
- Non-discretionary RAUM · unset to 0.0Jan 19, 2022 to Apr 20, 2022
- Pooled vehicle RAUM · unset to 261463816.0Jan 19, 2022 to Apr 20, 2022
- RAUM · unset to 261463816.0Jan 19, 2022 to Apr 20, 2022
Signals
6 dated events
- P••••• A•••• P••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $526.1M)May 2, 2025 · Left the SEC roster · derived
- P••••• A•••• P••••••• L•• reported RAUM $481.2M, down 26% from $651.8M (2022-06-23 to 2023-06-30)Jun 30, 2023 · RAUM change · derived
- Marcin Kamil Walczyszyn (Limited Partner) appeared on Schedule A of P••••• A•••• P••••••• L••Jun 30, 2023 · Control person joined · fact
- N••••• J••••• C••••• (Chief Compliance Officer, Chief Operating Officer) appeared on Schedule A of P••••• A•••• P••••••• L••Jun 23, 2022 · Control person joined · fact
- P••••• A•••• P••••••• L•• reported RAUM $651.8M, up 149% from $261.5M (2022-04-29 to 2022-06-23)Jun 23, 2022 · RAUM change · derived
- P••••• A•••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 18, 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.
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