DFX Intelligence
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P••••••• I•••••••••
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $288M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $288M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -19%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $354MRAUM now $288M
- Contact points 2
Every filed figure, and the identifiersCRD 322412 · SEC 801-128307 · 13 filingsShowHide
CRD 322412SEC 801-128307Legal name P••••••• A••••••• M••••••••• L••First filing on the tape Jun 9, 2023, latest Jun 11, 2026SEC status approved since Jul 10, 2023IAPD
RAUM
$288M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$288M as of Jun 11, 2026
Oct 3, 2023$198M then
HNW client RAUM$0 as of Jun 11, 2026
Oct 3, 2023$0 then
State-registered IARs (5.B.3)0 as of Jun 11, 2026
Oct 3, 20230 then
Employees (5.A)4 as of Jun 11, 2026
Oct 3, 20232 then
Private funds: no history
RAUM -19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 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
- $288MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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-basedreportedItem 5.E
- Advisory activities
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$288M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• R••••• L•••••••• · Authorized Officercontrolsince 04/2022 · owns less than 5%
- R•••••••• M••••••• F•••••••• · Chief Compliance Officer, Managing Directorcontrolsince 04/2022 · owns less than 5%
Entity owners
- P••••••• I••••••••• P••••••• A••••••• L•• · Sole Ownerdirect · owns 75% or more
- P••••••• I••••••••• P••••••• L•••••• · Sole Ownerindirect · owns 75% or more of P••••••• I••••••••• P••••••• A••••••• L••
- P••••••• I••••••••• M••••••••• G•••• L•••••• · Sole Ownerindirect · owns 75% or more of P••••••• I••••••••• M••••••••• L••••••
- P••••••• I••••••••• M••••••••• L•••••• · Beneficial Ownerindirect · owns 25% to 50% of P••••••• I••••••••• P••••••• L••••••
Related persons
Schedule D 7.A
- P••••••• I••••• P•• L••••••investment adviserpooled vehicle sponsorn
- P••••••• I••••••••• P••••••• L••••••investment adviserpooled vehicle sponsory
- P••••••• I••••••••• M••••••••• L••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $354M to $288MJul 8, 2025 to Oct 1, 2025
- Pooled vehicle RAUM · $354M to $288MJul 8, 2025 to Oct 1, 2025
- RAUM · $354M to $288MJul 8, 2025 to Oct 1, 2025
- Financial planning clients · unset to Mar 12, 2025 to Jul 8, 2025
- Accounts · 2 to 1Sep 26, 2024 to Oct 14, 2024
- Pooled vehicle clients · 2 to 1Sep 26, 2024 to Oct 14, 2024
- Advisory employees · 2 to 4Aug 28, 2024 to Sep 26, 2024
- Pooled vehicle clients · unset to 2.0Aug 28, 2024 to Sep 26, 2024
- Employees · 2 to 4Aug 28, 2024 to Sep 26, 2024
- Discretionary RAUM · $198M to $354MAug 28, 2024 to Sep 26, 2024
- Pooled vehicle RAUM · $0 to $354MAug 28, 2024 to Sep 26, 2024
- RAUM · $198M to $354MAug 28, 2024 to Sep 26, 2024
Signals
8 dated events
- ••• LockedJun 11, 2026 · Control person joined · fact
- ••• LockedJun 11, 2026 · ria ownership band change · fact
- ••• LockedJun 11, 2026 · Control person joined · fact
- ••• LockedJun 11, 2026 · Control person joined · fact
- ••• LockedJun 11, 2026 · ria principal change · fact
- ••• LockedSep 26, 2024 · RAUM change · derived
- ••• LockedJun 19, 2023 · ria registration change · fact
- ••• LockedJun 9, 2023 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 11, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 11, 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