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••••••••• P• L••
Latest filing Mar 25, 2026
First filing on the tape Oct 14, 2022 · 8 filings
SEC status approved since Nov 14, 2022
RAUM
$471M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$471M as of Mar 25, 2026
May 4, 2023$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
May 4, 20230 then
Employees (5.A)4 as of Mar 25, 2026
May 4, 20238 then
Private funds1 as of Mar 25, 2026
May 4, 20231 then
RAUM +40% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $236MderivedRAUM 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
- +40%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $471M, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$471M100%
- 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
- $471M for 2 clientsreported
- Compensation
- % of AUMreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••••••• C•••••• F••• L•• | Hedge Fund | $348M | 185 | Jun 8, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A••••• S••••• · Chief Operating Officercontrolsince 01/2023 · owns less than 5%
- K••••••••• H•••••• B••••••• · Ownercontrolsince 07/2021 · owns 75% or more
- Z••••••• P•••• N•• · Chief Compliance Officer, Chief Financial Officercontrolsince 08/2022 · owns less than 5%
Related persons
Schedule D 7.A
- P••••••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 2Mar 28, 2025 to Mar 25, 2026
- Assets in custody · $336M to $471MMar 28, 2025 to Mar 25, 2026
- Employees · 8 to 4Mar 28, 2025 to Mar 25, 2026
- Discretionary RAUM · $336M to $471MMar 28, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $336M to $471MMar 28, 2025 to Mar 25, 2026
- RAUM · $336M to $471MMar 28, 2025 to Mar 25, 2026
- Related adviser · false to trueMar 28, 2025 to Mar 25, 2026
- Advisory employees · 6 to 5Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $348M to $336MMar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $348M to $336MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $348M to $336MMar 27, 2024 to Mar 28, 2025
- RAUM · $348M to $336MMar 27, 2024 to Mar 28, 2025
- Assets in custody · $201M to $348MMay 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $214M to $348MMay 4, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $214M to $348MMay 4, 2023 to Mar 27, 2024
- RAUM · $214M to $348MMay 4, 2023 to Mar 27, 2024
- Related bank · true to falseMay 4, 2023 to Mar 27, 2024
- Accounts · unset to 2.0Oct 18, 2022 to Mar 14, 2023
- Advisory employees · 0 to 6Oct 18, 2022 to Mar 14, 2023
- Pooled vehicle clients · unset to 2.0Oct 18, 2022 to Mar 14, 2023
- Assets in custody · unset to 201415177.0Oct 18, 2022 to Mar 14, 2023
- Custody of client assets · false to trueOct 18, 2022 to Mar 14, 2023
- Employees · 4 to 8Oct 18, 2022 to Mar 14, 2023
- Private funds · unset to 1Oct 18, 2022 to Mar 14, 2023
- Discretionary RAUM · unset to 214125140.0Oct 18, 2022 to Mar 14, 2023
- Non-discretionary RAUM · unset to 0.0Oct 18, 2022 to Mar 14, 2023
- Pooled vehicle RAUM · unset to 214125140.0Oct 18, 2022 to Mar 14, 2023
- RAUM · unset to 214125140.0Oct 18, 2022 to Mar 14, 2023
- Related adviser · true to falseOct 18, 2022 to Mar 14, 2023
Signals
4 dated events
- P••••••••• P• L•• reported RAUM $471.3M, up 40% from $335.6M (2025-03-28 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- P••••••••• P• L•• reported RAUM $347.6M, up 62% from $214.1M (2023-05-04 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Steven Aaron Bubley (Chief Operating Officer) appeared on Schedule A of P••••••••• P• L••Mar 14, 2023 · Control person joined · fact
- P••••••••• P• L•• filed its initial SEC registration (Form ADV)Oct 14, 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
- Website
- p•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (786) 396-1281reportedpublic record, Form ADV, Mar 25, 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