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•••••• A••••••• L••

Other adviserNew York, New YorkCRD 318890SEC 801-136174websiteIAPD
Legal name P•••••• A•••••••• L••
Latest filing Jun 26, 2026
First filing on the tape Apr 8, 2026 · 2 filings
SEC status approved since May 7, 2026
RAUM
$70.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$13.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$35.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$70.0M as of Jun 26, 2026
Apr 8, 2026$70.0M then
HNW client RAUM$13.8M as of Jun 26, 2026
Apr 8, 2026$13.8M then
State-registered IARs (5.B.3)0 as of Jun 26, 2026
Apr 8, 20260 then
Employees (5.A)2 as of Jun 26, 2026
Apr 8, 20262 then
Private funds1 as of Jun 26, 2026
Apr 8, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
RAUM per advisor
$35.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$511,895derivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$56.2M80%
  • High-net-worth individuals$13.8M20%
Individual clients
n/areported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
28reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.2 fund_share=0.8 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••••••• T• R••••Chartered Financial AnalystNew York, NyJun 25, 202615 y0
A•••••• M•••••• P••••••New York, Ny Jun 26, 202612 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••• P••••••••• T• · Presidentcontrol
      since 12/2021 · owns less than 5%
    • W••••• J•••••••• M•••••• · Chief Compliance Officer
      since 03/2026 · owns less than 5%
    Entity owners
    • P•••••• T••••••••• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny · principal220
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    Website
    w••.p••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    646-876-5141reportedpublic record, Form ADV, Jun 26, 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
    Other adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $35.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026