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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

T•••• F••• A•••••••• L••

CRD 290570

NEW YORK, NY

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Search this name across graphsid dfx:ria:8b1e29d1-302f-123f-768e-39dbab8b8e69

Data as of Mar 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 7
On other graphs: 0
Observed: Nov 2, 2017 to Mar 30, 2024
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $23.6MItem 5.F on the latest filing (2024-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $23.6M
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
Employees

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••••••••• D•••••• J••••	Member	E	yes	05/2009	Mar 27, 2018	Mar 30, 2024
C••••••••• D•••••• J••••	HEAD OF INVESTMENTS	Na	yes	12/2023	Mar 27, 2018

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
T•••• R••• A•••••••• L••	n/a	Asset manager	$1.4B	N	yes	n/a
T•••• C•••••• P•••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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

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
2023	$23.6M	$240M	-90.1%	$271M	-55.7%	0	0	0	0

Relationships

Affiliated with (3)

← T•••• R••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ T•••• R••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← T•••• INCOME ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← M••••• S••••• J••••Owner

Dated events

Occurred
Mar 30, 2024
Regulatory AUM changed
T•••• F••• A•••••••• L•• reported RAUM $23.6M, down 90% from $240.0M (2023-03-31 to 2024-03-30)
Form ADVobserved 7 days ago
$-216M
Occurred
Jan 20, 2023
Control person left
David Bruce Batkin (Member) no longer on Schedule A of T•••• F••• A•••••••• L•• (listed 2022-03-31, absent 2023-01-20)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2020
Control person left
Sam Michael Cardello (Chief Compliance Officer) no longer on Schedule A of T•••• F••• A•••••••• L•• (listed 2019-05-07, absent 2020-03-30)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b1e29d1-302f-123f-768e-39dbab8b8e69
First observed: Nov 2, 2017
Last observed: Mar 30, 2024 30 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.