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•••••• I••••••••• C••••••• L••
Latest filing Jun 2, 2017
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$15.4M
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
50
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$16.9M gross assets
History
28 filings and snapshots on the tape
RAUM$15.4M as of Jun 2, 2017
Mar 30, 2012$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jun 2, 2017
Mar 30, 20120 then
Employees (5.A)50 as of Jun 2, 2017
Jan 15, 201640 then
Private funds7 as of Jun 2, 2017
Jun 2, 20177 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 2017; every figure names its basis
- RAUM per advisor
- $3.1MderivedRAUM 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
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 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-based, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $15.4M, 7 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.4M for 7 clientsreported
- Compensation
- % of AUM, performance, commissionsreported
- 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
- M••• D•••• O•••••• to P•••••• I••••••••• A•••••••• L••May 4, 2020 · Other
- M•••••• P•••••• N•••• to D•• W••••• M•••••••••Jan 15, 2020 · Other
- T••• S•••••• B••••••••• to C••••• • A••••••••• I•••Jan 3, 2020 · Other
- J••••••• S•••• H•••••• to M•••••• A•••• M•••••••••Nov 6, 2019 · Other
- D••• L•••• G•••••• to P•••••• I••••••••• A•••••••• L••Nov 1, 2019 · Other
- M•••••• D•••• A••••• to D•• W••••• M•••••••••Oct 17, 2019 · Other
- E••• T••• H••••• to P•••• S••••••••• L••Oct 30, 2018 · Other
- V••••• C•••••• B••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- D•••• G•••••• S•••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- L•• S•••• S•••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- E••••• J•••• J•••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- A••• L•••••• T•••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- K•••• C•••••• H•••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- B•••••• J•••• D•••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
- T••••• C•••••• M•••••• to J•• C•••••• A•••••••• L••Apr 11, 2012 · Other
Joined, latest
- M••• D•••• O•••••• from B•••••• C•••••• A••••••• L••Dec 3, 2018 · Other
- D••• L•••• G•••••• from J•• C•••••• A•••••••• L••Dec 13, 2017 · Other
- E••• T••• H••••• from M•• F•••••••• S•••••••• I•••May 8, 2017 · Other
- M•••••• P•••••• N•••• from N•••••• C•••• A•••• M•••••••••Mar 24, 2016 · Other
- M•••••• D•••• A••••• from N•••••• C•••• A•••• M•••••••••Mar 24, 2016 · Other
- V••••• C•••••• B••••• from W•••• F•••• A•••••••Mar 21, 2012 · Other
- J••• F•••• O•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 22, 2011 · Other
- E••• F• L••••••• from U•• F•••••••• S••••••• I•••Feb 7, 2011 · Other
- J••• G••• J•••••• from A••••••••• F•••••••• S•••••••• L••Oct 22, 2010 · Other
- S••••• B•••••• L•• P••••• from U••• B•••••• I••••••••• I•••Mar 10, 2010 · Other
- J••••• A••••• L•••• from G•••••••• F••••••••• I••Jan 6, 2010 · Other
- B•••• D•••• R•••••••• from G•••••••• F••••••••• I••Jan 4, 2010 · Other
- E••••••• A••••• from A••••••••• A•••••• S•••••••• I•••Sep 2, 2008 · Other
- D•••• G•••••• S•••• from C•••••• E••••• G•••• A•••••••• L••Aug 15, 2008 · Other
- A••• M• L••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 15, 2008 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• B•• I••••••••• L•• | Securitized Asset Fund | $4.5M | 45 | Jun 2, 2017 |
| E••••••••• I••••••••• L••• | Securitized Asset Fund | $3.1M | 78 | Jun 2, 2017 |
| P•••••• D••••••• I••••••••• I•• L•• | Securitized Asset Fund | $2.7M | 40 | Jun 2, 2017 |
| P•••••• D••••••• I••••••••• L••• | Securitized Asset Fund | $2.6M | 68 | Jun 2, 2017 |
| B••• P•••••• 1• L•• | Securitized Asset Fund | $1.5M | 40 | Jun 2, 2017 |
| P•••••• D••••••• I•• I••••••••• | Securitized Asset Fund | $1.3M | 45 | Jun 2, 2017 |
| P•••••• S••••• I••••••••• L•• | Securitized Asset Fund | $1.2M | 38 | Jun 2, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B•••• · Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- C••••• C••••••••• S••••• · Chairman, Elected Managercontrolsince 02/2013 · owns 10% to 25%
- C••••• B•••• K•••• · Ceocontrolsince 10/2014 · owns less than 5%
- F••••••• M••• S••••• · Head Of Investment Bankingcontrolsince 11/2016 · owns less than 5%
- G•••• S••••• J••• · Strategic A•••••• To The Ceo And Chairman/Legalcontrolsince 11/2016 · owns less than 5%
- M•••••••• M••••••• L••••••• · Senior Vice President Corporate Financecontrolsince 03/1995 · owns less than 5%
- P•••••••• T••••• S•••••• · Elected Managercontrolsince 07/2014 · owns 10% to 25%
- S••••••••• R••••• J••••• · Elected Managercontrolsince 07/2014 · owns 10% to 25%
- W••••• M•••••• A•••••••• · Cfo/Finopcontrolsince 08/2015 · owns less than 5%
- Y••••• G•• H••••• · Owner Through R•••• I•••••••• Investors LLCcontrolsince 01/2013 · owns 75% or more of R•••• I•••••••• Investors LLC
Entity owners
- R•••• I•••••••• I••••••••• L•• · Investordirect · owns 25% to 50%
- D•• I••••••••• L•• · Investordirect · owns 5% to 10%
- R•••• I•••••••• I••••••••• L•• · Ownerindirect · owns 25% to 50% of P•••••• Capital Holding Company, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL
- New York, NY
- Portland, OR
- Tampa, IL
- W••••• Creek, CA
What changed
consecutive filings, newest first
- Private funds · unset to 7May 16, 2017 to Jun 2, 2017
- Accounts · 4 to 7Mar 15, 2017 to Mar 31, 2017
- Advisory employees · 25 to 5Mar 15, 2017 to Mar 31, 2017
- BD registered reps · 35 to 50Mar 15, 2017 to Mar 31, 2017
- Assets in custody · $11.5M to $15.4MMar 15, 2017 to Mar 31, 2017
- Employees · 40 to 50Mar 15, 2017 to Mar 31, 2017
- State-registered IARs · 25 to 5Mar 15, 2017 to Mar 31, 2017
- Discretionary RAUM · $11.5M to $15.4MMar 15, 2017 to Mar 31, 2017
- RAUM · $11.5M to $15.4MMar 15, 2017 to Mar 31, 2017
- Business name · P•••••• I••••••••• C••••••• I••• to P•••••• I••••••••• C••••••• L••Jan 29, 2016 to Feb 4, 2016
- Legal name · P•••••• I••••••••• C•••••• L•• to P•••••• I••••••••• C••••••• L••Jan 29, 2016 to Feb 4, 2016
- Accounts · 346 to 4Apr 25, 2012 to Jan 15, 2016
- Advisory employees · unset to 25.0Apr 25, 2012 to Jan 15, 2016
- Advisory activities · 2 to 3Apr 25, 2012 to Jan 15, 2016
- BD registered reps · unset to 35.0Apr 25, 2012 to Jan 15, 2016
- Commission compensation · false to trueApr 25, 2012 to Jan 15, 2016
- Assets in custody · unset to 11524724.0Apr 25, 2012 to Jan 15, 2016
- Custody of client assets · false to trueApr 25, 2012 to Jan 15, 2016
- Employees · unset to 40.0Apr 25, 2012 to Jan 15, 2016
- HQ city · PORTLAND to CHICAGOApr 25, 2012 to Jan 15, 2016
- HQ state · OR to ILApr 25, 2012 to Jan 15, 2016
- State-registered IARs · 0 to 25Apr 25, 2012 to Jan 15, 2016
- Organization form · Corporation to Limited Liability CompanyApr 25, 2012 to Jan 15, 2016
- Discretionary RAUM · $0 to $11.5MApr 25, 2012 to Jan 15, 2016
- Non-discretionary RAUM · $114M to $0Apr 25, 2012 to Jan 15, 2016
- RAUM · $114M to $11.5MApr 25, 2012 to Jan 15, 2016
- Legal name · P•••••• I••••••••• C••••••• I••• to P•••••• I••••••••• C•••••• L••Jan 15, 2016 to Jan 15, 2016
Signals
1 dated events
- P•••••• I••••••••• C••••••• I••• filed its initial SEC registration (Form ADV)Jan 15, 2016 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- P•••••• I••••••••• C••••••• L•• · Venture Capitalshared crd · org
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