DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••••• H••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 29, 2022 · 7 filings
SEC status approved since May 31, 2022
RAUM
$37.2M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$37.2M as of Mar 31, 2026
Mar 31, 2023$34.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20230 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20239 then
Private funds2 as of Mar 31, 2026
Mar 31, 20232 then
RAUM -6.0% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $18.6MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.0%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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $37.2M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$37.2M100%
- 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
- $37.2M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• H••••••• F•••• L••• | Private Equity Fund | $38.5M | 25 | Mar 31, 2023 |
| P•••••••• H••••••• ••••••••• F•••• L••• | Private Equity Fund | $464,607 | 25 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• K••••••••• A••• · Chief Executive Officercontrolsince 02/2022 · owns less than 5%
- M•••••••• N••••• A•• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- W•••• S••••••• •••• · Chief Financial Officercontrolsince 02/2022 · owns less than 5%
- L•••••• K••••••••• A••• · Managing Membercontrolsince 08/2022 · owns 50% to 75% of P•••••••• H•••••••• L••
Entity owners
- P•••••••• H•••••••• L•• · Sole Memberdirect · owns 75% or more
- P•••••••• F•• S•••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• F•••••• L••
- P•••••••• F•••••• L•• · Managing Memberindirect · owns 75% or more of P•••••••• I••••••••• P•••••••• L••
- P•••••••• I••••••••• P•••••••• L•• · Memberindirect · owns 25% to 50% of P•••••••• H•••••••• L••
- P•••••••• M••••••• L•• · M••••••indirect · owns F of P•••••••• T••••• L••
- P•••••••• T••••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• F•• S•••• L••
- P•••••••• I••••••••• L•• · Sole Memberindirect · owns 75% or more of P•••••••• T••••• L••
Related persons
Schedule D 7.A
- P•••••••• E••••• P••••••• A••••••• L••investment adviserpooled vehicle sponsorn
- P•••••••• H••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT
What changed
consecutive filings, newest first
- Advisory employees · 4 to 2Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $39.5M to $37.2MMar 27, 2025 to Mar 31, 2026
- Employees · 4 to 2Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $39.5M to $37.2MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $39.5M to $37.2MMar 27, 2025 to Mar 31, 2026
- RAUM · $39.5M to $37.2MMar 27, 2025 to Mar 31, 2026
- Advisory employees · 0 to 4Oct 15, 2024 to Mar 27, 2025
- Assets in custody · $39.0M to $39.5MOct 15, 2024 to Mar 27, 2025
- Employees · 5 to 4Oct 15, 2024 to Mar 27, 2025
- Financial planning clients · unset to Oct 15, 2024 to Mar 27, 2025
- Discretionary RAUM · $43.8M to $39.5MOct 15, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $43.8M to $39.5MOct 15, 2024 to Mar 27, 2025
- RAUM · $43.8M to $39.5MOct 15, 2024 to Mar 27, 2025
- Assets in custody · $9.6M to $39.0MMar 31, 2023 to Mar 28, 2024
- Employees · 9 to 5Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $34.3M to $43.8MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $34.3M to $43.8MMar 31, 2023 to Mar 28, 2024
- RAUM · $34.3M to $43.8MMar 31, 2023 to Mar 28, 2024
- Accounts · unset to 2.0Oct 28, 2022 to Mar 31, 2023
- Pooled vehicle clients · unset to 2.0Oct 28, 2022 to Mar 31, 2023
- Assets in custody · $0 to $9.6MOct 28, 2022 to Mar 31, 2023
- Custody of client assets · false to trueOct 28, 2022 to Mar 31, 2023
- Private funds · unset to 2Oct 28, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 34333551.0Oct 28, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Oct 28, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · unset to 34333551.0Oct 28, 2022 to Mar 31, 2023
- RAUM · unset to 34333551.0Oct 28, 2022 to Mar 31, 2023
Signals
3 dated events
- Daniel Dominick Barbieri (General Counsel / Chief Compliance Officer) no longer on Schedule A of P•••••••• H••••••• M••••••••• L•• (listed 2024-03-28, absent 2024-10-15)Oct 15, 2024 · Control person left · inference
- Ann Nancy Mitchell (Chief Compliance Officer) appeared on Schedule A of P•••••••• H••••••• M••••••••• L••Oct 15, 2024 · Control person joined · fact
- P•••••••• H••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 29, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••••• H••••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- P•••••••• H••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (212) 218-5150reportedpublic record, Form ADV, Mar 31, 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
- 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