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•••• C•••••• M••••••••• ••• I•••
Latest filing Mar 31, 2026
First filing on the tape Nov 3, 2023 · 13 filings
SEC status approved since Dec 1, 2023
RAUM
$1.2B
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
18
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 29, 2024$40.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20240 then
Employees (5.A)18 as of Mar 31, 2026
Mar 29, 20245 then
Private funds3 as of Mar 31, 2026
Mar 29, 20241 then
RAUM +133% over the last fiscal yearIARs 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
- $394MderivedRAUM 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
- +133%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=true related_bank=true bd_reps=1.0derived
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•••• U• C•• I• L••• | Securitized Asset Fund | $400M | 3 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••• A•••••• L•••••• · Chief Investment Officer - Leveraged Loans / Directorcontrolsince 03/2024 · owns less than 5%
- C•••••••• N•••••••• I•• · Directorcontrolsince 10/2023 · owns less than 5%
- D•••• S••••••• N•• · Directorcontrolsince 03/2024 · owns less than 5%
- G•••••••• F••••• N•• · Directorcontrolsince 03/2024 · owns less than 5%
- H•••••••• D•••••• J••••• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- K••• D••••• D•• · Directorcontrolsince 07/2023 · owns less than 5%
- R••••••• A•••••••• N•• · Directorcontrolsince 03/2024 · owns less than 5%
Entity owners
- P•••• C•••••• M••••••••• G•••• L•••••• · Shareholderdirect · owns 75% or more
- M••••••••• D• C•••••• F••••••••• S•••• · Shareholderindirect · owns 50% to 75% of P•••• C•••••• M••••••••• G•••• L••••••
Related persons
Schedule D 7.A
- B•••••• C•••••• B•••••••• F••• ••• L••••••pooled vehicle sponsorn
- B•••••• C•••••• B••••• P••••••••• ••• L••••••pooled vehicle sponsorn
- B•••••• C•••••• F••• ••• L••••••pooled vehicle sponsorn
- M••••••••• B•••• D• C•••••• F••••••••• S••••broker-dealerinvestment advisery
- P•••• C•••••• M••••••••• L••••••investment adviserbanknRAUM $5.3B
Advisers that list P•••• C•••••• M••••••••• ••• I••• as a related person
- 139138 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (1022 comparable advisers, 93.0th percentile of changes)peers: asset managers, $1B to $5B (1,022) · 93% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $508,382,978 to $1,183,253,410 (+133.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +11.0% (1368 comparable advisers, 96.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 2 to 3Dec 11, 2025 to Mar 31, 2026
- Advisory employees · 8 to 7Dec 11, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 3Dec 11, 2025 to Mar 31, 2026
- Private funds · 2 to 3Dec 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $508M to $1.2BDec 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $508M to $1.2BDec 11, 2025 to Mar 31, 2026
- RAUM · $508M to $1.2BDec 11, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 6, 2025
- Accounts · 1 to 2Aug 15, 2024 to Mar 31, 2025
- Advisory employees · 6 to 8Aug 15, 2024 to Mar 31, 2025
- BD registered reps · 0 to 1Aug 15, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 2Aug 15, 2024 to Mar 31, 2025
- Employees · 13 to 18Aug 15, 2024 to Mar 31, 2025
- Other offices · 0 to 1Aug 15, 2024 to Mar 31, 2025
- Private funds · 1 to 2Aug 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $400M to $508MAug 15, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $400M to $508MAug 15, 2024 to Mar 31, 2025
- RAUM · $400M to $508MAug 15, 2024 to Mar 31, 2025
- Advisory employees · 3 to 6Mar 29, 2024 to Jun 24, 2024
- BD registered reps · 1 to 0Mar 29, 2024 to Jun 24, 2024
- Employees · 5 to 13Mar 29, 2024 to Jun 24, 2024
- Discretionary RAUM · $40.0M to $400MMar 29, 2024 to Jun 24, 2024
- Pooled vehicle RAUM · $40.0M to $400MMar 29, 2024 to Jun 24, 2024
- RAUM · $40.0M to $400MMar 29, 2024 to Jun 24, 2024
- Accounts · unset to 1.0Mar 6, 2024 to Mar 29, 2024
- Pooled vehicle clients · unset to 1.0Mar 6, 2024 to Mar 29, 2024
- Assets in custody · unset to 0.0Mar 6, 2024 to Mar 29, 2024
- Employees · 4 to 5Mar 6, 2024 to Mar 29, 2024
- Private funds · unset to 1Mar 6, 2024 to Mar 29, 2024
- Discretionary RAUM · unset to 40000000.0Mar 6, 2024 to Mar 29, 2024
- Non-discretionary RAUM · unset to 0.0Mar 6, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · unset to 40000000.0Mar 6, 2024 to Mar 29, 2024
- RAUM · unset to 40000000.0Mar 6, 2024 to Mar 29, 2024
- Business name · C•••• C•••••• N•••• A•••••• I•• to P•••• C•••••• M••••••••• ••• I•••Nov 9, 2023 to Nov 10, 2023
- Legal name · C•••• C•••••• N•••• A•••••• I•• to P•••• C•••••• M••••••••• ••• I•••Nov 9, 2023 to Nov 10, 2023
Signals
11 dated events
- P•••• C•••••• M••••••••• ••• I••• reported RAUM $1.2B, up 133% from $508.4M (2025-12-11 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- P•••• C•••••• M••••••••• ••• I••• reported RAUM $508.4M, up 27% from $400.0M (2024-08-15 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- J••••• D••••• H••••••• (Chief Compliance Officer) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Aug 15, 2024 · Control person joined · fact
- J••• M•••••• D•••••• (Chief Compliance Officer) no longer on Schedule A of P•••• C•••••• M••••••••• ••• I••• (listed 2024-07-19, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- L•••••• A••••• B•••• (Chief Investment Officer - Leveraged Loans / Director) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Jun 24, 2024 · Control person joined · fact
- J••• M•••••• D•••••• (Chief Compliance Officer) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Mar 29, 2024 · Control person joined · fact
- S•••••• D••• (Director) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Mar 29, 2024 · Control person joined · fact
- A••••••• R•••••• (Director) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Mar 29, 2024 · Control person joined · fact
- Frank Goasguen (Director) appeared on Schedule A of P•••• C•••••• M••••••••• ••• I•••Mar 29, 2024 · Control person joined · fact
- Marie Jacqueline Goode (Chief Compliance Officer) no longer on Schedule A of P•••• C•••••• M••••••••• ••• I••• (listed 2024-03-06, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- C•••• C•••••• N•••• A•••••• I•• filed its initial SEC registration (Form ADV)Nov 3, 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
- Firm profile
- linkedin.com/company/polus-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-653-2389reportedpublic 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