DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••• C•••••• C•••••••••

CRD 137578

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Search this name across graphsid dfx:ria:6baf5ce3-8cb9-59aa-9018-250b8e9e4390

Data as of May 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to May 26, 2026
23 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: independent wealth managerderivedprivate_client_share=0.86 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $148M••• Locked
Discretionary RAUM: $148M
Private client RAUM: $128Mderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••• C•••••• F••• L••	Hedge Fund	$4.8M	Sep 27, 2023	6	Mar 30, 2012	dropped	021-160132

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••• C•••••••••	PRESIDENT, CHIEF INVESTMENT OFFICER, AND CHIEF COMPLIANCE OFFICER	E	yes	11/1997	Mar 30, 2012	Dec 10, 2024

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	$148M	$141M	5.0%	$71.9M	27.3%	3	1	0	0

Relationships

Controls (1)

← T•••• C•••••••••OwnerPRESIDENT, CHIEF INVESTMENT OFFICER, AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to Dec 10, 2024factForm ADV

Advises (1)

→ T••• C•••••• F••• L••Private fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Sep 27, 2023factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6baf5ce3-8cb9-59aa-9018-250b8e9e4390
First observed: Mar 30, 2012
Last observed: May 26, 2026 3 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.