DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•• P•••••••• L••
Latest filing May 4, 2026
First filing on the tape Nov 19, 2025 · 2 filings
SEC status approved since Jan 2, 2026
RAUM
$156M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$156M as of May 4, 2026
Nov 19, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Nov 19, 20250 then
Employees (5.A)5 as of May 4, 2026
Nov 19, 20254 then
Private funds: 1
Practice profile
derived from the filing of May 4, 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
- $52.0MderivedRAUM 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
- 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
- Custody
- $156M, 3 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$156M100%
- 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
- $156M for 3 clientsreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• N••• · Member, President, Chief Operating Officer, Chief Compliance Officercontrolsince 07/2025 · owns 10% to 25%
- M•••••••• M••••••• J••• · Managing Member, Chief Investment Officercontrolsince 07/2024 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing May 4, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-19, yes on the filing of 2026-05-04peers: asset managers, $100M to $500M (1,568)
- business activity changedChange between filings · filing May 4, 2026advises private funds (Item 7.B): no on the filing of 2025-11-19, yes on the filing of 2026-05-04peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Accounts · 0 to 3Nov 19, 2025 to May 4, 2026
- Advisory employees · 2 to 3Nov 19, 2025 to May 4, 2026
- Pooled vehicle clients · unset to 3.0Nov 19, 2025 to May 4, 2026
- Assets in custody · unset to 156046170.0Nov 19, 2025 to May 4, 2026
- Custody of client assets · false to trueNov 19, 2025 to May 4, 2026
- Employees · 4 to 5Nov 19, 2025 to May 4, 2026
- Private funds · unset to 1Nov 19, 2025 to May 4, 2026
- Discretionary RAUM · $0 to $156MNov 19, 2025 to May 4, 2026
- Pooled vehicle RAUM · unset to 156046170.0Nov 19, 2025 to May 4, 2026
- RAUM · $0 to $156MNov 19, 2025 to May 4, 2026
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/pc3-partnersreportedpublic record, Form ADV, Sep 21, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 305-686-5900reportedpublic record, Form ADV, May 4, 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