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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Former SEC-registered adviser
P••••••••• P••••••• L••
Latest filing Feb 19, 2025
First filing on the tape Sep 17, 2024 · 5 filings
SEC status approved since Oct 25, 2024
RAUM
$244M
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
1
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$244M as of Feb 19, 2025
Sep 17, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 19, 2025
Sep 17, 20240 then
Employees (5.A)3 as of Feb 19, 2025
Sep 17, 20243 then
Private funds1 as of Feb 19, 2025
Sep 17, 20241 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 19, 2025; 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
- $81.2MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$244M100%
- 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
- absent from the latest SEC rosterderived
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 |
|---|---|---|---|---|
| P••••••••• M••••• F••• L••• | Hedge Fund | $0 | 0 | Sep 17, 2024 |
Owners and control persons
Schedule A and B, latest filing
- F••••• K••••• M• · Head Of Trading, Americascontrolsince 09/2024 · owns less than 5%
- J••••••• K••••••• M•••••• · Coo, Ccocontrolsince 09/2024 · owns less than 5%
- K••••• N••••• · Directorcontrolsince 07/2024 · owns 75% or more of P••••••••• P••••••• L••••••
Entity owners
- P••••••••• P••••••• L•••••• · Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 3Oct 24, 2024 to Feb 19, 2025
- Financial planning clients · unset to Oct 24, 2024 to Feb 19, 2025
- HQ state · unset to Oct 24, 2024 to Feb 19, 2025
- Discretionary RAUM · $0 to $244MOct 24, 2024 to Feb 19, 2025
- Pooled vehicle RAUM · $0 to $244MOct 24, 2024 to Feb 19, 2025
- RAUM · $0 to $244MOct 24, 2024 to Feb 19, 2025
- Related adviser · false to trueOct 24, 2024 to Feb 19, 2025
- Related bank · false to trueOct 24, 2024 to Feb 19, 2025
- HQ city · NEW YORK to SINGAPOREOct 7, 2024 to Oct 18, 2024
- HQ state · NY to unsetOct 7, 2024 to Oct 18, 2024
- Other offices · 0 to 1Oct 7, 2024 to Oct 18, 2024
- HQ city · WILMINGTON to NEW YORKSep 17, 2024 to Oct 7, 2024
- HQ state · DE to NYSep 17, 2024 to Oct 7, 2024
Signals
3 dated events
- P••••••••• P••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $243.7M)Dec 20, 2025 · Left the SEC roster · derived
- M Kevin Foote (Head Of Trading, Americas) appeared on Schedule A of P••••••••• P••••••• L••Oct 7, 2024 · Control person joined · fact
- P••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Sep 17, 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
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
- Former SEC-registered adviserderiveda 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