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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••• C••••• L••
Latest filing Jun 16, 2026
First filing on the tape Jun 28, 2024 · 8 filings
SEC status approved since Jul 29, 2024
RAUM
$1.3B
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
37
20 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$1.3B as of Jun 16, 2026
Mar 31, 2025$425M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Mar 31, 20250 then
Employees (5.A)37 as of Jun 16, 2026
Mar 31, 202532 then
Private funds3 as of Jun 16, 2026
Mar 31, 20251 then
RAUM +216% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 16, 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
- $447MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +216%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 assets, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••• C•• I• L•••••• | Securitized Asset Fund | $183M | 1 | Nov 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G••••• P••••• M•••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- R••••• A••••••• N•• · Directorcontrolsince 07/2024 · owns less than 5%
- R•••••• S••••••••• R••••• · Directorcontrolsince 07/2024 · owns less than 5%
Entity owners
- P•••••• C••••• L•••••• · Memberdirect · owns 75% or more
- P•••••• A••••••• G•••• H••••••• L•••••• · Ownerindirect · owns 75% or more of P•••••• C••••• G•••• H••••••• L••••••
- P•••••• C••••• G•••• H••••••• L•••••• · Ownerindirect · owns 75% or more of P•••••• C••••• H••••••• L••••••
- P•••••• C••••• H••••••• L•••••• · Ownerindirect · owns 75% or more of P•••••• C••••• L••••••
- P•••••• H••••••• L•••••• · Ownerindirect · owns 75% or more of P•••••• A••••••• G•••• H••••••• L••••••
Related persons
Schedule D 7.A
- P•••••• C••••• G•••• H••••••• L••••••investment advisern
- P•••••• C••••• L••••••investment adviserpooled vehicle sponsory
- P•••••• E••••••• C•• M•••••• L••investment advisern
- P•••••• I••••••••• A••••••• L••••••investment adviserpooled vehicle sponsorn
- P•••••• M••••••••• S•• R•••investment advisern
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom12 employees
- New York, NY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $424,600,000 to $1,340,853,000 (+216.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +11.0% (1368 comparable advisers, 98.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 98% percentile
What changed
consecutive filings, newest first
- Advisory employees · 22 to 20Mar 30, 2026 to Jun 16, 2026
- Employees · 30 to 37Mar 30, 2026 to Jun 16, 2026
- HQ city · M•••• PARK to SAN FRANCISCOMar 30, 2026 to Jun 16, 2026
- Accounts · 1 to 3Sep 30, 2025 to Mar 30, 2026
- Advisory employees · 20 to 22Sep 30, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 3Sep 30, 2025 to Mar 30, 2026
- Employees · 32 to 30Sep 30, 2025 to Mar 30, 2026
- Private funds · 1 to 3Sep 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $425M to $1.3BSep 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $425M to $1.3BSep 30, 2025 to Mar 30, 2026
- RAUM · $425M to $1.3BSep 30, 2025 to Mar 30, 2026
- Advisory employees · 17 to 20Nov 26, 2024 to Mar 31, 2025
- Employees · 26 to 32Nov 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $183M to $425MNov 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $183M to $425MNov 26, 2024 to Mar 31, 2025
- RAUM · $183M to $425MNov 26, 2024 to Mar 31, 2025
- Accounts · unset to 1.0Jul 26, 2024 to Nov 26, 2024
- Advisory employees · 15 to 17Jul 26, 2024 to Nov 26, 2024
- Pooled vehicle clients · unset to 1.0Jul 26, 2024 to Nov 26, 2024
- Employees · 25 to 26Jul 26, 2024 to Nov 26, 2024
- Private funds · unset to 1Jul 26, 2024 to Nov 26, 2024
- Discretionary RAUM · unset to 183248015.0Jul 26, 2024 to Nov 26, 2024
- Non-discretionary RAUM · unset to 0.0Jul 26, 2024 to Nov 26, 2024
- Pooled vehicle RAUM · unset to 183248015.0Jul 26, 2024 to Nov 26, 2024
- RAUM · unset to 183248015.0Jul 26, 2024 to Nov 26, 2024
Signals
5 dated events
- P•••••• C••••• L•• reported RAUM $1.3B, up 216% from $424.6M (2025-09-30 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- P•••••• C••••• L•• reported RAUM $424.6M, up 132% from $183.2M (2024-11-26 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Rebecca Krista Killian (Chief Compliance Officer) no longer on Schedule A of P•••••• C••••• L•• (listed 2024-07-26, absent 2024-11-26)Nov 26, 2024 · Control person left · inference
- M•••••• P•••• G•••• (Chief Compliance Officer) appeared on Schedule A of P•••••• C••••• L••Nov 26, 2024 · Control person joined · fact
- P•••••• C••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 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••••••.CNreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-407-9015reportedpublic record, Form ADV, Jun 16, 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