DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

T••• M•••••• L••

CRD 162892

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:16cf7553-3aad-fab5-8557-c726024d2c87

Data as of Jun 4, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 2
Observed: Apr 28, 2016 to Jun 4, 2019
10 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

T••• M•••••• L••

Private equity manager · shared crd

Venture Capitalidentity

T••• M•••••• L••

Venture manager · shared crd

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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••• I••••••••• • S• M•••• L••	Private Equity Fund	$11.6M	Mar 26, 2013	25	Mar 27, 2012	dropped	n/a
T•••••••• I••••••••• C•••• L••	Private Equity Fund	$249,458

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• G•••••• H••••	Member	D	yes	06/2006	Apr 28, 2016	Jun 4, 2019
M••••••• R••••• N••	CCO, MEMBER	D	yes	06/2006	Apr 28, 2016	Jun 4, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• J••••• T••••••••• G•••• I•••	n/a	n/a	n/a	N	yes	n/a
T••••••••• S•••••• P••••••• L••	n/a	n/a	n/a	Y	no	n/a
T••••••••• H••••••• I•••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 28, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$0	$237M	-100.0%	n/a	n/a	2	2	0	0

Relationships

Controls (2)

← M••••••• R••••• N••OwnerCCO, MEMBER, ownership code D, individual
Apr 28, 2016 to presentfactForm ADV
← C••••••• G•••••• H••••OwnerMEMBER, ownership code D, individual
Apr 28, 2016 to presentfactForm ADV

Advises (7)

→ T••• I••••••••• L••Private fundPrivate Equity Fund, IA
Mar 27, 2012 to presentfactForm ADV
→ M• P••••••• I• L•••Private fund

Dated events

Occurred
Jun 4, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-232M
Occurred
Apr 28, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:16cf7553-3aad-fab5-8557-c726024d2c87
First observed: Apr 28, 2016
Last observed: Jun 4, 2019 88 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.