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••••••• C••••• R••• A••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 29, 2024 · 3 filings
SEC status approved since May 28, 2024
RAUM
$42.6M
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
59
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$42.6M as of Mar 25, 2026
Mar 31, 2025$3.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 31, 20250 then
Employees (5.A)59 as of Mar 25, 2026
Mar 31, 202529 then
Private funds: 1
RAUM +1316% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $42.6MderivedRAUM 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
- +1316%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
- 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$42.6M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- 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=9.0derived
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
- B••••• J•••• F•••••• · Chairman And Ceocontrolsince 01/2024 · owns less than 5%
- V•• D•••• K••••••• L•• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- B••••• J•••• F•••••• · Membercontrolsince 10/2004 · owns 75% or more of P••••••• C•••••• M••••••••• L•••
Entity owners
- P••••••• C•••••• M••••••••• L••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• S••••• S•••••• I••••• M••••••••• L••investment advisernRAUM $479M
- P••••••• C•••••• M••••••••• L•••investment adviseryRAUM $6.6B
Offices
Schedule D 1.F, the 25 largest
- New York, NY35 employees
- Darien, CT5 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 25, 2026advises private funds (Item 7.B): no on the filing of 2025-03-31, yes on the filing of 2026-03-25peers: asset managers, under $100M (330)
- employee count surgeChange between filings · filing Mar 25, 2026employees (Item 5.A) moved from 29.0 to 59.0 (+103.0%) between the annual amendments of 2025-03-31 and 2026-03-25; the peer median change was -4.0% (51 comparable advisers, 98.0th percentile of changes)peers: asset managers, under $100M (51) · 98% percentile
What changed
consecutive filings, newest first
- BD registered reps · 7 to 9Mar 31, 2025 to Mar 25, 2026
- Employees · 29 to 59Mar 31, 2025 to Mar 25, 2026
- Private funds · unset to 1Mar 31, 2025 to Mar 25, 2026
- Discretionary RAUM · $3.0M to $42.6MMar 31, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.0M to $42.6MMar 31, 2025 to Mar 25, 2026
- RAUM · $3.0M to $42.6MMar 31, 2025 to Mar 25, 2026
- Accounts · unset to 1.0Apr 29, 2024 to Mar 31, 2025
- Advisory employees · 50 to 9Apr 29, 2024 to Mar 31, 2025
- BD registered reps · 5 to 7Apr 29, 2024 to Mar 31, 2025
- Business name · P••••• to P••••••• C••••• R••• A••••••• L••Apr 29, 2024 to Mar 31, 2025
- Employees · 124 to 29Apr 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to 0Apr 29, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 3004621.0Apr 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Apr 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 3004621.0Apr 29, 2024 to Mar 31, 2025
- RAUM · unset to 3004621.0Apr 29, 2024 to Mar 31, 2025
Signals
1 dated events
- Pcream filed its initial SEC registration (Form ADV)Apr 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
- Website
- prospectcap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-285-4044reportedpublic record, Form ADV, Mar 25, 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