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• A•••• M•••••••••
Legal name P• A•••• M••••••••• L••
Latest filing May 29, 2026
First filing on the tape Jun 27, 2023 · 12 filings
SEC status approved since Jul 27, 2023
RAUM
$40.3M
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$40.3M as of May 29, 2026
Mar 27, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 29, 2026
Mar 27, 20243 then
Employees (5.A)3 as of May 29, 2026
Mar 27, 20247 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
- RAUM per advisor
- $13.4MderivedRAUM 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
- $5.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$40.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• C••••• D•••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- R••••••• R••••• R••• · President And Co-Managercontrolsince 06/2023 · owns 50% to 75%
- S••••• E•••••• D••••• · Co-Managercontrolsince 12/2023 · owns 10% to 25%
- F•••••••• R•••• C••••••••• · Ownercontrolsince 05/2014 · owns 75% or more of K••• V••••••• L••
- J••••••• C••••• D•••••• · Ownercontrolsince 07/2014 · owns 75% or more of D•• V••••••• L••
Entity owners
- D•• V••••••• L•• · Ownerdirect · owns 10% to 25%
- K••• V••••••• L•• · Ownerdirect · owns 10% to 25%
- S•••• W••••• P••••••• · Co-Managerdirect · owns less than 5%
- D•• V••••••• L•• · Ownerindirect · owns 50% to 75% of S•••• W••••• P•••••••
- K••• V••••••• L•• · Ownerindirect · owns 50% to 75% of S•••• W••••• P•••••••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 8Dec 19, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Dec 19, 2025 to Mar 31, 2026
- Employees · 4 to 3Dec 19, 2025 to Mar 31, 2026
- Insurance-licensed employees · 4 to 0Dec 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $43.0M to $40.3MDec 19, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $43.0M to $40.3MDec 19, 2025 to Mar 31, 2026
- RAUM · $43.0M to $40.3MDec 19, 2025 to Mar 31, 2026
- Employees · 3 to 4Nov 5, 2025 to Dec 19, 2025
- Insurance-licensed employees · 0 to 4Nov 5, 2025 to Dec 19, 2025
- Accounts · 0 to 3Feb 3, 2025 to Nov 5, 2025
- Advisory employees · 5 to 3Feb 3, 2025 to Nov 5, 2025
- Pooled vehicle clients · unset to 1.0Feb 3, 2025 to Nov 5, 2025
- Employees · 5 to 3Feb 3, 2025 to Nov 5, 2025
- Financial planning clients · 0 to 0Feb 3, 2025 to Nov 5, 2025
- Discretionary RAUM · $0 to $43.0MFeb 3, 2025 to Nov 5, 2025
- Pooled vehicle RAUM · $0 to $43.0MFeb 3, 2025 to Nov 5, 2025
- RAUM · $0 to $43.0MFeb 3, 2025 to Nov 5, 2025
- Advisory employees · 7 to 5Mar 27, 2024 to Feb 3, 2025
- Employees · 7 to 5Mar 27, 2024 to Feb 3, 2025
- Financial planning clients · unset to 0Mar 27, 2024 to Feb 3, 2025
- Advisory employees · 6 to 7Jan 4, 2024 to Mar 27, 2024
- Employees · 8 to 7Jan 4, 2024 to Mar 27, 2024
- State-registered IARs · 4 to 3Jan 4, 2024 to Mar 27, 2024
Signals
2 dated events
- Donald Edward Smith (Co-Manager) appeared on Schedule A of P• A•••• M•••••••••Jan 2, 2024 · Control person joined · fact
- P• A•••• M••••••••• filed its initial SEC registration (Form ADV)Jun 27, 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
- Website
- p•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 253-470-4977reportedpublic record, Form ADV, May 29, 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