DFX Intelligence

RIA Intelligence

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SEC-registered adviser

P•• V•••••• A••••••• L••

No RAUM reportedChicago, IllinoisCRD 330069SEC 801-135145IAPD
Latest filing Aug 24, 2026
First filing on the tape Mar 29, 2024 · 7 filings
SEC status approved since Jan 12, 2026
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
1
1 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$0 as of Aug 24, 2026
Feb 8, 2025$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Feb 8, 20250 then
Employees (5.A)1 as of Aug 24, 2026
Feb 8, 20253 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-100%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 investment companiesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• N•••••• P••••••••• · Managing Member And Principalcontrol
        since 01/2024 · owns less than 5%
      • L•••••• N•••••• P••••••••• · Shareholdercontrol
        since 03/2024 · owns 75% or more of P•• V•••••• E••••••••• I•••
      • D•••••• S••••• E•••••••• · Chief Compliance Officer
        since 03/2024 · owns less than 5%
      Entity owners
      • P•• V•••••• E••••••••• I••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P•• V•••••• I•••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · to CHICAGO
        Jan 8, 2026 to Aug 24, 2026
      • HQ state · to IL
        Jan 8, 2026 to Aug 24, 2026
      • Accounts · 1 to 0
        Apr 1, 2025 to Jan 8, 2026
      • Employees · 3 to 1
        Apr 1, 2025 to Jan 8, 2026
      • Financial planning clients · unset to
        Apr 1, 2025 to Jan 8, 2026
      • HQ city · NEW YORK to
        Apr 1, 2025 to Jan 8, 2026
      • HQ state · NY to
        Apr 1, 2025 to Jan 8, 2026
      • Discretionary RAUM · $100,000 to $0
        Apr 1, 2025 to Jan 8, 2026
      • RAUM · $100,000 to $0
        Apr 1, 2025 to Jan 8, 2026
      • Accounts · 0 to 1
        Oct 30, 2024 to Feb 8, 2025
      • Advisory activities · 2 to 1
        Oct 30, 2024 to Feb 8, 2025
      • Discretionary RAUM · $0 to $100,000
        Oct 30, 2024 to Feb 8, 2025
      • RAUM · $0 to $100,000
        Oct 30, 2024 to Feb 8, 2025
      • Advisory activities · 1 to 2
        Mar 29, 2024 to Apr 22, 2024
      Signals
      2 dated events
      • P•• V•••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $100,000)
        Aug 1, 2025 · Left the SEC roster · derived
      • P•• V•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 29, 2024 · 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
      312-237-9205reportedpublic record, Form ADV, Aug 24, 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