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••••• S••••• P•••••• C••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 2, 2023 · 7 filings
SEC status approved since Mar 31, 2023
RAUM
$77.2M
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
76
33 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$77.2M as of Mar 31, 2026
Mar 28, 2024$57.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 28, 20244 then
Employees (5.A)76 as of Mar 31, 2026
Mar 28, 202456 then
Private funds1 as of Mar 31, 2026
Mar 28, 20241 then
RAUM +2.8% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $25.7MderivedRAUM 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
- $77.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 25.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 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
- Custody
- $75.1M, 1 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$77.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.1M for 1 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=true bd_reps=5.0derived
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••••• S••••• P•••••• C••••• F••• | Other Private Fund | $57.1M | 15 | Feb 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••• S••••• A••••• · Chief Operating Officercontrolsince 02/2023 · owns less than 5%
- B••••• S••••• R•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- F••• J••••••• D•••• · Presidentcontrolsince 02/2023 · owns less than 5%
- L•••• A••••• K••••••• · Chief Investment Officercontrolsince 02/2023 · owns less than 5%
- L•••• C••••••••• D••• · Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- L•••• A••••• K••••••• · Trusteecontrolsince 10/2019 · owns F of A•••• K• L••• I••••••••• T••••
- L•••• C••••••••• D••• · Trusteecontrolsince 01/2020 · owns F of C••••••••• D• L••• I••••••••• T••••
Entity owners
- P••••• S••••• C•••••• M••••••••• L•• · Managing Memberdirect · owns 75% or more
- A•••• K• L••• I••••••••• T•••• · Memberindirect · owns 50% to 75% of P••••• S••••• H•••••••• L••
- C••••••••• D• L••• I••••••••• T•••• · Memberindirect · owns 25% to 50% of P••••• S••••• H•••••••• L••
- P••••• S••••• H•••••••• L•• · Managing Memberindirect · owns 50% to 75% of P••••• S••••• C•••••• M••••••••• L••
- V•• I••••••••• P••••••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- P••••• S••••• B•• A•••••• L••investment advisernRAUM $1.2B
- P••••• S••••• C•••••• A••••••• L••bankpooled vehicle sponsorn
- P••••• S••••• C•••••• M••••••••• L••investment adviserbankyRAUM $26B
- P••••• S••••• E••••• C•••••• M••••••••• L••investment advisernRAUM $9.2B
- P••••• S••••• O••••••••• C••••• F••• G• L••bankpooled vehicle sponsorn
Advisers that list P••••• S••••• P•••••• C••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom7 employees
- , 2 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Nov 18, 2025 to Mar 31, 2026
- BD registered reps · 4 to 5Nov 18, 2025 to Mar 31, 2026
- Employees · 71 to 76Nov 18, 2025 to Mar 31, 2026
- State-registered IARs · 2 to 3Nov 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $75.1M to $77.2MNov 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $75.1M to $77.2MNov 18, 2025 to Mar 31, 2026
- RAUM · $75.1M to $77.2MNov 18, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 2, 2025
- Advisory employees · 28 to 33Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 8 to 4Mar 28, 2024 to Mar 28, 2025
- Assets in custody · unset to 75056353.0Mar 28, 2024 to Mar 28, 2025
- Custody of client assets · false to trueMar 28, 2024 to Mar 28, 2025
- Employees · 56 to 71Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 2Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $57.1M to $75.1MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $57.1M to $75.1MMar 28, 2024 to Mar 28, 2025
- RAUM · $57.1M to $75.1MMar 28, 2024 to Mar 28, 2025
- Accounts · unset to 1.0Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 24 to 28Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 7 to 8Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 0 to 1Mar 31, 2023 to Mar 28, 2024
- Employees · 48 to 56Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · unset to 57079182.0Mar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · unset to 0.0Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · unset to 57079182.0Mar 31, 2023 to Mar 28, 2024
- RAUM · unset to 57079182.0Mar 31, 2023 to Mar 28, 2024
- Other offices · 1 to 2Feb 2, 2023 to Mar 31, 2023
Signals
1 dated events
- P••••• S••••• P•••••• C••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 2, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• S••••• P•••••• C••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/palmer-square-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- palmersquarecap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 816-994-3200reportedpublic 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