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T•••••• P••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T•••••• P••••••• I••

CRD 107223

RYE, NY

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Search this name across graphsid dfx:ria:10791532-ff4a-a44f-9100-71fc319d4b98

Data as of Jul 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jul 3, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $554MItem 5.F on the latest filing (2012-07-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $554M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• S••••• B•••• M••••• P•••••••• L••••••	Hedge Fund	$205M	Jul 3, 2012	43	Mar 28, 2012	reported	021-122754
T•••••• O••••••••• F••• I••• L•••	Hedge Fund	$92.5M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• S••••••• T•••••	EVP AND CHIEF COMPLIANCE OFFICER	Na	yes	01/1994	Mar 28, 2012	Jul 3, 2012
K••••••• L•••• O•	PRESIDENT AND CHIEF FINANCIAL OFFICER; DIRECTOR	Na	yes	09/2005	Mar 28, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• I•••••••• S•••••••• L••	n/a	Bd affiliated wealth	$116B	N	yes	n/a
M••••••••• M••••• L••• I•••••••• C••••••	n/a	Former SEC adviser	$40B	Y	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$554M	$554M	n/a	n/a	n/a	24	$558M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$554M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ M•• I•••••••• S•••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ M••••••••• M••••• L••• I•••••••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (24)

→ T•••••• E••••• F•••Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ T•••••• M••••• N•••••• F••• I•• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:10791532-ff4a-a44f-9100-71fc319d4b98
First observed: Mar 28, 2012
Last observed: Jul 3, 2012 173 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.