DFX Intelligence
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SEC-registered adviser
P••••••••• C••••••
Legal name P••••••••• C•••••• L•
Latest filing Jul 17, 2026
First filing on the tape Mar 25, 2024 · 7 filings
SEC status approved since Sep 19, 2025
RAUM
$125M
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
3 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$125M as of Jul 17, 2026
Mar 31, 2025$489M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Mar 31, 20250 then
Employees (5.A)3 as of Jul 17, 2026
Mar 31, 20253 then
Private funds: no history
RAUM -74% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 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
- $125MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -74%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- 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
- 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)
- 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$125M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• S•••••• Y••••• · Limited Partner And Chief Compliance Officercontrolsince 02/2024 · owns 75% or more
- P••••• S•••••• Y••••• · Managing Membercontrolsince 02/2024 · owns 75% or more of P••••••••• C•••••• G• L••
Entity owners
- P••••••••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- P••••••••• C•••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Jan 13, 2026RAUM (Item 5.F) moved from $489,304,000 to $125,000,000 (-74.0%) between the annual amendments of 2025-03-31 and 2026-01-13; the peer median change was +4.0% (1145 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (1,145) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 1Sep 19, 2025 to Jan 13, 2026
- Pooled vehicle clients · unset to 1.0Sep 19, 2025 to Jan 13, 2026
- Discretionary RAUM · $0 to $125MSep 19, 2025 to Jan 13, 2026
- Pooled vehicle RAUM · unset to 125000000.0Sep 19, 2025 to Jan 13, 2026
- RAUM · $0 to $125MSep 19, 2025 to Jan 13, 2026
- Accounts · 1 to 0Mar 31, 2025 to Sep 19, 2025
- Pooled vehicle clients · 1.0 to unsetMar 31, 2025 to Sep 19, 2025
- Financial planning clients · unset to Mar 31, 2025 to Sep 19, 2025
- Discretionary RAUM · $489M to $0Mar 31, 2025 to Sep 19, 2025
- Pooled vehicle RAUM · 489304000.0 to unsetMar 31, 2025 to Sep 19, 2025
- RAUM · $489M to $0Mar 31, 2025 to Sep 19, 2025
- Discretionary RAUM · $446M to $489MAug 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $446M to $489MAug 12, 2024 to Mar 31, 2025
- RAUM · $446M to $489MAug 12, 2024 to Mar 31, 2025
- Accounts · 0 to 1Mar 26, 2024 to Aug 12, 2024
- Pooled vehicle clients · unset to 1.0Mar 26, 2024 to Aug 12, 2024
- Discretionary RAUM · $0 to $446MMar 26, 2024 to Aug 12, 2024
- Pooled vehicle RAUM · unset to 446067000.0Mar 26, 2024 to Aug 12, 2024
- RAUM · $0 to $446MMar 26, 2024 to Aug 12, 2024
Signals
3 dated events
- ••• LockedSep 19, 2025 · RAUM change · derived
- ••• LockedJun 2, 2025 · Left the SEC roster · derived
- ••• LockedMar 25, 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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Jul 17, 2026
- Principal office phone
- 267-975-4728reportedpublic record, Form ADV, Jul 17, 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