DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

T••••• P•••• H••• K••• L••••••

CRD 155827

CENTRAL

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Search this name across graphsid dfx:ria:28638294-66da-4f88-5d99-d9d34043e8c4

Data as of Jul 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 20
On other graphs: 1
Observed: Mar 1, 2012 to Jul 1, 2026
40 observations

Across DFX

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

Private Equityidentity

T••••• P•••• H••• K••• L••••••

Intermediary · shared crd

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.92 institutional_share=0.07 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $42B••• Locked
Discretionary RAUM: $42B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 134

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• E••••• O• S••	Director	Na	yes	08/2021	Jan 27, 2022	Mar 28, 2024
C•••• S••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	Mar 29, 2021	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T• R••• P•••• A••••••••• I•••	n/a	Asset manager	$2196B	Y	yes	n/a
T• R••• P•••• I••••••••• L••	n/a	Asset manager	$277B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$42B	$22B	94.0%	$12B	52.8%	134	135	1	0

Relationships

Affiliated with (22)

← T• R••• P•••• A••••••• S•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
← T• R••• P•••• A••••••••• I•••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ T• R••• P•••• A••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ T• R••• P•••• •••••••• I•••Registered adviser

Dated events

Occurred
Mar 31, 2026
Ria raum c•••ge
T••••• P•••• H••• K••• L•••••• reported RAUM $42.3B, up 94% from $21.8B (2025-03-31 to 2026-03-31)
Form ADVobserved 7 days ago
$20.5B
Occurred
Mar 28, 2024
Ria raum c•••ge
T••••• P•••• H••• K••• L•••••• reported RAUM $18.3B, up 54% from $11.9B (2024-01-02 to 2024-03-28)
Form ADVobserved 7 days ago
$6.5B
Occurred
Nov 7, 2023
Control person joined
Hoi Che Carolyn Chu (Director) appeared on Schedule A of T••••• P•••• H••• K••• L••••••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28638294-66da-4f88-5d99-d9d34043e8c4
First observed: Mar 1, 2012
Last observed: Jul 1, 2026 2 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.