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••• R••• E••••• A••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Aug 11, 2023 · 7 filings
SEC status approved since Sep 11, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Mar 26, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20240 then
Employees (5.A)5 as of Mar 27, 2026
Mar 26, 20245 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Mar 27, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true 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
- C••••• A•••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- J•••••• J••••••• P••••• · Secretarycontrolsince 04/2023 · owns less than 5%
- K•••••• J•••••• S••• · Coo, Vp And Treasurercontrolsince 04/2023 · owns less than 5%
- M••••••••• B••••• P•••••• · President And Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- S•••••••• B••••• T•••• · Assistant Secretarycontrolsince 04/2023 · owns less than 5%
Entity owners
- P••• H•••••• C•••••• L•• · Shareholderdirect · owns 75% or more
- P••••••••• F••••••••• I••• · Shareholderindirect · owns 75% or more of P••• H•••••• C•••••• L•• · public reporting company
Related persons
Schedule D 7.A
- J••••••• A•••••••••investment adviserbankpooled vehicle sponsoryRAUM $215B
- M•••••• C•••••• P••••••• A•investment adviserpooled vehicle sponsory
- P••• ••••••••• P•• L•••investment adviserpooled vehicle sponsory
- P••• •••• K•••• L•••broker-dealerinvestment adviserpooled vehicle sponsory
- P••• ••••••••• C•••••• L•••investment adviserpooled vehicle sponsory
- P••• ••••••••• P••• L•••investment advisery
- P••• A••••••••• I••••••••• G•• L••investment adviserpooled vehicle sponsory
- P••• F•••••• I••••••••• I•••investment adviserpooled vehicle sponsory
- P••• I••••••••• •••••••• L••••••investment adviserpooled vehicle sponsory
- P••• I••••••••• L••investment adviserbanknRAUM $345B
- P••• J•••• C••• L•••investment adviserpooled vehicle sponsory
- P••• K•••• I•••investment adviserpooled vehicle sponsory
- P••• L••••••investment adviserpooled vehicle sponsoryRAUM $76B
- P••• L••• O••••••••• M•••••• L••••••investment advisern
- P••• L••••••••• S•••investment adviserpooled vehicle sponsoryRAUM $19B
- P••• N••••••••• B•••investment advisery
- P••• Multi-Asset Solutions LLCinvestment advisernRAUM $26B
- P••• Fund Management L••••••investment adviserpooled vehicle sponsoryRAUM $1.2B
- P••• P•••••• C•••••• •••••••• L••••••investment adviserpooled vehicle sponsory
- P••• P•••••• C•••••• L••••••investment advisery
- P••• P•••••• P•••••••• I••••••••• L•••investment adviserpooled vehicle sponsornRAUM $24B
- P••• R••• E••••• •••••• L•••investment adviserpooled vehicle sponsory
- P••• R••• E••••• F•••••• L••investment adviserpooled vehicle sponsory
- P••• R••• E••••• F••••• S•••••investment adviserpooled vehicle sponsory
- P••• R••• E••••• G•••••• A•investment adviserpooled vehicle sponsory
- P••• R••• E••••• G••••• D••• G•• L••investment adviserpooled vehicle sponsory
- P••• R••• E••••• M••••• S•••investment adviserpooled vehicle sponsory
- P••• R••• E••••• U••• D••• F••• G•• L••investment adviserpooled vehicle sponsory
- P••• R••• E••••• U••••••• D••• F••• G•• L••investment adviserpooled vehicle sponsory
- P••• R•• E••••• M••••• L••investment adviserpooled vehicle sponsorn
Advisers that list P••• R••• E••••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Arlington, VA1 employees
What changed
consecutive filings, newest first
- Employees · 6 to 5Mar 26, 2025 to Mar 27, 2026
- Other offices · 2 to 3Mar 26, 2025 to Mar 27, 2026
- Accounts · unset to 0.0May 21, 2024 to Mar 26, 2025
- Advisory activities · 1 to 2May 21, 2024 to Mar 26, 2025
- BD registered reps · 1 to 0May 21, 2024 to Mar 26, 2025
- Employees · 5 to 6May 21, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0May 21, 2024 to Mar 26, 2025
- Other offices · 1 to 2May 21, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0May 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0May 21, 2024 to Mar 26, 2025
- RAUM · unset to 0.0May 21, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
- Corporate clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
- HNW clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
- Individual clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
- Pension plan clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
- Pooled vehicle clients · unset to 0.0Aug 11, 2023 to Mar 26, 2024
Signals
3 dated events
- Sean Patrick Caughey (Chief Compliance Officer) no longer on Schedule A of P••• R••• E••••• A••••••• L•• (listed 2024-03-26, absent 2024-05-07)May 7, 2024 · Control person left · inference
- Anthony Conte (Chief Compliance Officer) appeared on Schedule A of P••• R••• E••••• A••••••• L••May 7, 2024 · Control person joined · fact
- P••• R••• E••••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 11, 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
- Principal office phone
- 973-367-5122reportedpublic record, Form ADV, Mar 27, 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
- No RAUM reportedderiveda 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