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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P•••••• S••••••••• U••
Latest filing Jun 26, 2025
First filing on the tape Sep 2, 2022 · 7 filings
SEC status approved since Oct 3, 2022
RAUM
$685M
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
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$685M as of Jun 26, 2025
Mar 27, 2023$635M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2025
Mar 27, 20230 then
Employees (5.A)14 as of Jun 26, 2025
Mar 27, 202317 then
Private funds: no history
RAUM -13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2025; 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
- $76.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.7%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
- -13%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 businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$489M71%
- Other investment advisers$117M17%
- Insurance companies$52.7M7.7%
- Charitable organizations$13.5M2.0%
- Corporations and businesses$13.5M2.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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
- A••• R•••••• T•••• · Board Membercontrolsince 06/2022 · owns less than 5%
- C••••• M• S••• N•• · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- F•••••••• M••••••••• N•• · Chief Executive Officer And Board Membercontrolsince 04/2022 · owns less than 5%
- R•••• L•••• N•• · Board Membercontrolsince 06/2022 · owns less than 5%
- W••••• B••••• N•••••• · Shareholdercontrolsince 12/2018 · owns 50% to 75% of Q•••••• C•••• D••••••••• L••••••
- W••••• B••••• N•••••• · Shareholdercontrolsince 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S•••••••
- W••••• B••••• S•••• · Shareholdercontrolsince 12/2018 · owns 50% to 75% of Q•••••• C•••• D••••••••• L••••••
- W••••• B••••• S•••• · Shareholdercontrolsince 08/2019 · owns 50% to 75% of Q•••••• C•••• H•••••• S•••••••
Entity owners
- S•••• A•••• M••••••••• L••• · Shareholderdirect · owns 75% or more
- Q•••••• C•••• D••••••••• L•••••• · Shareholderindirect · owns 75% or more of Q•••••• C•••• P••••••••• I•••
- Q•••••• C•••• H•••••• S••••••• · Shareholderindirect · owns 75% or more of Q•••••• C•••• P••••••••• U••
- Q•••••• C•••• H•••••• S••••••• · Shareholderindirect · owns 75% or more of S•••• A•••• M••••••••• G• I•••
- Q•••••• C•••• P••••••••• I••• · Preferred Shareholderindirect · owns F of Q•••••• C•••• P••••••••• U••
- Q•••••• C•••• P••••••••• U•• · L•••••• Partnerindirect · owns 50% to 75% of S•••• A•••• M••••••••• L•••
- S•••• A•••• M••••••••• G• I••• · General Partnerindirect · owns F of S•••• A•••• M••••••••• L•••
Related persons
Schedule D 7.A
- S•••• A••••••• S•••••• ••• L••investment advisernRAUM $1.7B
- S•••• A•••• M••••••••• ••••••• L•••investment advisern
- S•••• A•••• M••••••••• ••••••• L••••••investment advisern
- S•••• A•••• M••••••••• L•••pooled vehicle sponsory
- S•••• C••••••• R••• E••••• O••••••••• F••• I• G• L•••pooled vehicle sponsorn
- S•••• C••••••• R••• E••••• O••••••••• F••• I• G• I•••pooled vehicle sponsorn
- S•••• E••••••• E•••••••• R••• E••••• I••••• F••• G• S•• R•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• F••• I•• G•• S•••••••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• G• I•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• H••••••• I• • I• G• I•••pooled vehicle sponsorn
- S•••• E••••••• R••• E••••• I• G• I•••pooled vehicle sponsorn
- S•••• N•••• A•••••• E•••••••• R••• E••••• I••••• F••• G• L••pooled vehicle sponsorn
- S•••• R••• E••••• C•••••• G• L••pooled vehicle sponsorn
Advisers that list P•••••• S••••••••• U•• as a related person
- 310404 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Apr 2, 2025 to Jun 26, 2025
- Advisory employees · 10 to 8Mar 28, 2024 to Apr 2, 2025
- Charity clients · unset to 1.0Mar 28, 2024 to Apr 2, 2025
- Corporate clients · 2 to 1Mar 28, 2024 to Apr 2, 2025
- Employees · 17 to 14Mar 28, 2024 to Apr 2, 2025
- HQ state · unset to Mar 28, 2024 to Apr 2, 2025
- Discretionary RAUM · $791M to $685MMar 28, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $502M to $489MMar 28, 2024 to Apr 2, 2025
- RAUM · $791M to $685MMar 28, 2024 to Apr 2, 2025
- Accounts · 8 to 9Nov 2, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 5Nov 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $635M to $791MNov 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $411M to $502MNov 2, 2023 to Mar 28, 2024
- RAUM · $635M to $791MNov 2, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseNov 2, 2023 to Mar 28, 2024
- Accounts · 7 to 8Sep 2, 2022 to Mar 27, 2023
- Business name · P•••••• S••••••••• to P•••••• S••••••••• U••Sep 2, 2022 to Mar 27, 2023
- Discretionary RAUM · $741M to $635MSep 2, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $475M to $411MSep 2, 2022 to Mar 27, 2023
- RAUM · $741M to $635MSep 2, 2022 to Mar 27, 2023
- Succession · true to falseSep 2, 2022 to Mar 27, 2023
Signals
6 dated events
- P•••••• S••••••••• U•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $685.2M)Dec 20, 2025 · Left the SEC roster · derived
- John Erik Dmytruk (Board Member) no longer on Schedule A of P•••••• S••••••••• U•• (listed 2023-11-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Alexander Fraser Mcewen (Board Member) no longer on Schedule A of P•••••• S••••••••• U•• (listed 2023-05-30, absent 2023-11-02)Nov 2, 2023 · Control person left · inference
- Nmn Nicole Leduc (Head Of Finance And Administration) no longer on Schedule A of P•••••• S••••••••• U•• (listed 2023-03-27, absent 2023-05-30)May 30, 2023 · Control person left · inference
- P•••••• S••••••••• filed its initial SEC registration (Form ADV)Sep 2, 2022 · First SEC registration · fact
- P•••••• S••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 2, 2022 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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