DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

T••••• P•••• C•••••• M•••••••••

T••••• P•••• C•••••• M••••••••• LLC, CRD 307366

WHITE PLAINS, NY

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Search this name across graphsid dfx:ria:803c1d70-b433-bf91-6186-691da8ef55e4

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Feb 24, 2020 to Mar 23, 2026
13 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $188M••• Locked
Discretionary RAUM: $188M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• H•••••• C•••	Member	D	yes	01/2020	Feb 24, 2020	Mar 14, 2024
C•••••• D••••• R•••••	President	E	yes	01/2020	Feb 24, 2020	Mar 14, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$10.0M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$188M	$42.4M	344.6%	$32.5M	79.6%	4	3	0	0

Relationships

Affiliated with (1)

→ G••••••• C•••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← M•••••• P••••••• M••••••OwnerMEMBER, ownership code B, individual
Mar 15, 2021 to Mar 14, 2024factForm ADV
← G••••••• C•••••• M•••••••••OwnerMEMBER, ownership code A, domestic entity
Feb 24, 2020 to Mar 14, 2024factForm ADV
← C•••••• D••••• R•••••OwnerPRESIDENT, ownership code E, individual

Dated events

Occurred
Mar 15, 2021
Control person joined
Michael Patrick Mullin (Member) appeared on Schedule A of T••••• P•••• C•••••• M•••••••••
Form ADVobserved 7 days ago
Occurred
Feb 24, 2020
First Form ADV filing
T••••• P•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:803c1d70-b433-bf91-6186-691da8ef55e4
First observed: Feb 24, 2020
Last observed: Mar 23, 2026 6 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.