DFX Intelligence

T••• M•••• • C•• I••: 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••• M•••• • C•• I••

T••• M•••• • C•• I••., CRD 160682

NEW YORK, NY

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Search this name across graphsid dfx:ria:c452d3a9-40c9-a70f-108b-473581a29eb6

Data as of Mar 29, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 15, 2012 to Mar 29, 2023
19 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: $20.0M••• Locked
Discretionary RAUM: $20.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••• I••••••••• L••••••	Other Private Fund	$20.0M	Mar 29, 2023	8	Feb 15, 2012	reported	n/a
S•••••• P•••••••• L•	Other Private Fund	$53

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• R••••• J••	Cfo	Na	yes	07/2011	Feb 15, 2012	Mar 29, 2023
J••••••• L••••••••• E•••	Cco	Na	yes	07/2011	Feb 15, 2012	Mar 29, 2023

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$20.0M	$110M	-81.8%	$104M	-42.3%	4	4	0	0

Relationships

Advises (2)

→ S•••••• I••••••••• L••••••Private fundOther Private Fund, IA
Feb 15, 2012 to presentfactForm ADV
→ S•••••• P•••••••• L•Private fundOther Private Fund, IA
Feb 15, 2012 to presentfactForm ADV

Controls (3)

← C••••• R••••• J••OwnerCFO, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← M••••• T•••••• A••••Owner

Dated events

Occurred
Mar 6, 2019
Regulatory AUM changed
T••• M•••• • C•• I•• reported RAUM $89.0M, down 56% from $202.0M (2018-03-23 to 2019-03-06)
Form ADVobserved 7 days ago
$-113M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c452d3a9-40c9-a70f-108b-473581a29eb6
First observed: Feb 15, 2012
Last observed: Mar 29, 2023 42 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.