DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T••••••••• A•••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 38 filings
SEC status approved since Apr 27, 1990
RAUM
$10B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
56%
$5.7B individuals and HNW
Advisors
32
registered through the firm on IAPD
RAUM per advisor
$320M
derived; firm RAUM over IAPD count
Employees
73
35 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2026
Mar 28, 2012$11B then
HNW client RAUM$5.7B as of Mar 31, 2026
Mar 31, 2018$5.3B then
State-registered IARs (5.B.3)27 as of Mar 31, 2026
Mar 28, 20132 then
Employees (5.A)73 as of Mar 31, 2026
Mar 28, 2013118 then
Private funds5 as of Mar 31, 2026
Mar 28, 20129 then
RAUM +9.4% over the last fiscal year+8.8% a year over threeIARs 33 to 27
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $320MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $4.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 16.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $2.4B, 283 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.7B55%
- Charitable organizations$1.2B11%
- Investment companies$956M9.3%
- Other investment advisers$775M7.6%
- Pension and profit-sharing plans$600M5.9%
- State and municipal entities$291M2.8%
- Corporations and businesses$280M2.7%
- Pooled investment vehicles$254M2.5%
- Insurance companies$182M1.8%
- Individuals$53.9M0.5%
- Individual clients
- 418reported
- HNW clients
- 741reported
- Pension plan clients
- 15reported
- Charitable clients
- 42reported
- Accounts
- 2,314reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $777M managedreported
- Custody of client assets
- $2.4B for 283 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.56 fund_share=0.19 institutional_share=0.22 related_bd=true related_bank=true bd_reps=33.0 bank_owner=falsederived
Advisors registered through the firm
32 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• C••••••• | New York, Ny | May 2, 2006 | 29 y | 0 |
| M•••••• J••• C••••••••• | New York, Ny | Sep 15, 2014 | 25 y | 1 |
| R••••• W•••••• K••••••••• | New York, Ny | Nov 6, 2015 | 44 y | 0 |
| H•••••• J••••• P••••••••• | New York, Ny | May 23, 2021 | 37 y | 1 |
| J••••• A•••••• Z••• | New York, Ny | May 23, 2021 | 38 y | 0 |
| J••••• S• P••••••• | New York, Ny | May 29, 2021 | 39 y | 0 |
| M•••••• L•••• B•••••• | New York, Ny | May 30, 2021 | 32 y | 0 |
| M•••••• T•• M•••••• | New York, Ny | May 31, 2021 | 24 y | 1 |
| B••••• A•••••• U••••• | New York, Ny | Jun 6, 2021 | 26 y | 0 |
| J••• D••••• D•••••••• | New York, Ny | Jun 6, 2021 | 17 y | 0 |
| D••••• B••••• W••• | New York, Ny | Jun 17, 2021 | 31 y | 0 |
| J••• T••••••• R••••••• | New York, Ny | Aug 12, 2021 | 21 y | 2 |
| L••••••• M•••••• F••••• | New York, Ny | Aug 18, 2021 | 40 y | 1 |
| P••• J• K••••••••• | New York, Ny | Aug 18, 2021 | 16 y | 0 |
| J••••• D•• K••••••• | New York, Ny | Aug 18, 2021 | 25 y | 0 |
| J•••• M••••• M•••••• | New York, Ny | Aug 19, 2021 | 17 y | 0 |
| P•••• D•••• S•••• | New York, Ny | Aug 19, 2021 | 21 y | 0 |
| P••• A•••••• L•••••• | New York, Ny | Aug 20, 2021 | 16 y | 0 |
| N••••• D•••••• A•••• | New York, Ny | Aug 21, 2021 | 46 y | 1 |
| P•••• T•••••• O•••••• | New York, Ny | Aug 21, 2021 | 23 y | 0 |
| D•••• T••••• H••••• | New York, Ny | Aug 21, 2021 | 45 y | 0 |
| V•••••• S••••••••• | New York, Ny | Aug 21, 2021 | 46 y | 0 |
| T•••••• N•••• | New York, Ny | Aug 21, 2021 | 40 y | 0 |
| J•••• E••••• H••• | New York, Ny | Aug 22, 2021 | 29 y | 0 |
| J••• R•••••• O•••Chartered Financial Analyst | New York, Ny | Aug 25, 2021 | 10 y | 0 |
| J••• J•••• P••••••• | New York, Ny | Sep 6, 2021 | 22 y | 1 |
| R••••• W••••• M••••••• I• | New York, Ny | Sep 6, 2021 | 18 y | 0 |
| G••••• B••••••••• M•••••••• | New York, Ny | Sep 6, 2021 | 28 y | 0 |
| M•••••• J••• P•••• | New York, Ny | Sep 13, 2021 | 31 y | 0 |
| N••••••• A•••••••• S•••• | New York, Ny | Nov 12, 2021 | 11 y | 0 |
| J•••• D••• H••••• | New York, Ny | Apr 22, 2025 | 40 y | 1 |
| C••••••••• E•••• M••••• | New York, Ny | Apr 22, 2025 | 35 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.1% of current headcount1 left over 36 months
Left, latest
- H•••••• A••• D•••••• G••••••• to N•• E••• W•••••Nov 20, 2025 · RIA to affiliated broker-dealer or bank
- J•••• R•••••• K••••• to C••••• P••••••• L••Jun 20, 2019 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- C••••••••• E•••• M••••• from P••••• F••••• C•••••• L••Apr 22, 2025 · Other
- J•••• D••• H••••• from P••••• F••••• C•••••• L••Apr 22, 2025 · Other
- J••• J•••• P••••••• from A••••••• C•••••• M••••••••• L••Sep 6, 2021 · Other
- N••••• D•••••• A•••• from D•••••••• • C•••••• L••Aug 21, 2021 · Other
- L••••••• M•••••• F••••• from B••• S•••••• A•••• M••••••••• I•••Aug 18, 2021 · Other
- J••• T••••••• R••••••• from J••• M••••• S••••••••• I•••Aug 12, 2021 · Other
- M•••••• T•• M•••••• from B••• S•••••• A•••• M••••••••• I•••May 31, 2021 · Other
- H•••••• J••••• P••••••••• from B••• S•••••• A•••• M••••••••• I•••May 23, 2021 · Other
- J•••• R•••••• K••••• from R•••• L••Sep 22, 2017 · Other
- M•••••• J••• C••••••••• from T•• W••••••••• G••••• I•••Sep 15, 2014 · Other
Private funds
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••••• C•••••• L••• | Hedge Fund | $105M | 30 | Mar 28, 2012 |
| B••••••• G•••• P••••••• L•no longer reported | Hedge Fund | $22.8M | 6 | Mar 28, 2012 |
| R••••• L•no longer reported | Hedge Fund | $9.6M | 30 | Jul 11, 2016 |
| T••••••••• G••••• P••••••• L•••no longer reported | Hedge Fund | $9.0M | 5 | Mar 28, 2012 |
| J•• F••••••••• L••• | Hedge Fund | $7.7M | 10 | Jan 3, 2017 |
| T••••••••• G••••• P••••••• O••••••• L••no longer reported | Hedge Fund | $5.4M | 4 | Mar 28, 2012 |
| T••••••••• M••••••• F••• L••no longer reported | Hedge Fund | $5.1M | 14 | Mar 29, 2012 |
| R•••• A••••• L•••no longer reported | Hedge Fund | $4.1M | 14 | Jul 11, 2016 |
| T••••••••• F•••• P•••••••• L•••no longer reported | Hedge Fund | $2.7M | 13 | Jul 10, 2015 |
| T••••••••• G••• P•••••• E••••• M••••• F•••• L••no longer reported | Private Equity Fund | $2.4M | 13 | Mar 28, 2012 |
| T••••••••• M•••• C••• L•••no longer reported | Hedge Fund | $2.4M | 8 | Mar 28, 2012 |
| T••••••••• G••• O••••••• F•••• L••no longer reported | Hedge Fund | $2.1M | 4 | Mar 28, 2012 |
| T••••••••• Q•••••••• O••••••••• Z••• F••• 2••• L•• | Real Estate Fund | $1.9M | 4 | Mar 31, 2022 |
| T••••••••• P••••••• P•••••••• L•••no longer reported | Hedge Fund | $1.9M | 8 | Mar 28, 2012 |
| T••••••••• Q•• 2••••• L•• | Real Estate Fund | $1.8M | 6 | Mar 31, 2022 |
| T••••••••• G••• P•••••••• L•••no longer reported | Hedge Fund | $648,322 | 24 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• K•••••• D••••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- K••••••••• R•••••• W•••••• · Chairman Of Gpcontrolsince 07/1991 · owns less than 5%
- S••••••••• S••••• I•• · Chief Operating Officer And Vice President Of Gpcontrolsince 01/2020 · owns less than 5%
- Z••••••••• J••••••• L•••• · Chief Financial Officercontrolsince 02/2021 · owns less than 5%
- K••••••••• R•••••• W•••••• · Shareholdercontrolsince 01/2000 · owns 50% to 75% of T••••••••• M••••••••• C••••
- K••••••••• A••••••••• W•••••• · Trusteesince 11/2011 · owns 10% to 25%
- K••••••••• K•• A• · Trusteesince 01/2019 · owns 10% to 25%
- K••••••••• L••• R• · Trusteesince 11/2011 · owns 10% to 25%
- K••••••••• P•••• J• · Ceo & President Of Gpsince 08/2023 · owns less than 5%
- K••••••••• A••••••••• W•••••• · Trusteesince 11/2011 · owns F of R••••• W• K••••••••• I••••••••• D•••••• T••••
- K••••••••• K••• A••• · Trusteesince 01/2019 · owns F of R••••• W• K••••••••• I••••••••• D•••••• T••••
- K••••••••• L•••• R• · Trusteesince 11/2011 · owns F of R••••• W• K••••••••• I••••••••• D•••••• T••••
- K••••••••• P•••• J• · Trusteesince 11/2011 · owns F of R••••• W• K••••••••• I••••••••• D•••••• T••••
Entity owners
- T••••••••• M••••••••• C•••• · General Partnerdirect · owns 75% or more
- R••••• W• K••••••••• · Limited Partnerdirect · owns 10% to 25%
- R••••• W• K••••••••• I••••••••• D•••••• T•••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- T••••••••• P••••••• L••investment adviserpooled vehicle sponsorn
- T••••••••• S••••••••• L•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 32 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Vero Beach, FL9 employees
What changed
consecutive filings, newest first
- Accounts · 2,440 to 2,314Jun 4, 2025 to Mar 31, 2026
- Advisory employees · 41 to 35Jun 4, 2025 to Mar 31, 2026
- BD registered reps · 41 to 33Jun 4, 2025 to Mar 31, 2026
- Corporate clients · 27 to 26Jun 4, 2025 to Mar 31, 2026
- HNW clients · 754 to 741Jun 4, 2025 to Mar 31, 2026
- Individual clients · 475 to 418Jun 4, 2025 to Mar 31, 2026
- Pension plan clients · 16 to 15Jun 4, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 8Jun 4, 2025 to Mar 31, 2026
- Assets in custody · $2.0B to $2.4BJun 4, 2025 to Mar 31, 2026
- Employees · 77 to 73Jun 4, 2025 to Mar 31, 2026
- State-registered IARs · 35 to 27Jun 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $8.9B to $9.3BJun 4, 2025 to Mar 31, 2026
- HNW RAUM · $5.1B to $5.7BJun 4, 2025 to Mar 31, 2026
- Individual RAUM · $322M to $53.9MJun 4, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $756M to $923MJun 4, 2025 to Mar 31, 2026
- Pension RAUM · $510M to $600MJun 4, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $222M to $254MJun 4, 2025 to Mar 31, 2026
- RAUM · $9.7B to $10BJun 4, 2025 to Mar 31, 2026
- Wrap assets (manager) · $654M to $777MJun 4, 2025 to Mar 31, 2026
- Accounts · 2,395 to 2,440Mar 18, 2025 to Jun 4, 2025
- Advisory employees · 36 to 41Mar 18, 2025 to Jun 4, 2025
- Corporate clients · 29 to 27Mar 18, 2025 to Jun 4, 2025
- HNW clients · 739 to 754Mar 18, 2025 to Jun 4, 2025
- Individual clients · 472 to 475Mar 18, 2025 to Jun 4, 2025
- Pooled vehicle clients · 8 to 9Mar 18, 2025 to Jun 4, 2025
- Employees · 70 to 77Mar 18, 2025 to Jun 4, 2025
- Financial planning clients · 251-500 to 251-500Mar 18, 2025 to Jun 4, 2025
- State-registered IARs · 33 to 35Mar 18, 2025 to Jun 4, 2025
- Private funds · 4 to 5Mar 18, 2025 to Jun 4, 2025
- Discretionary RAUM · $9.3B to $8.9BMar 18, 2025 to Jun 4, 2025
- HNW RAUM · $5.7B to $5.1BMar 18, 2025 to Jun 4, 2025
- Individual RAUM · $353M to $322MMar 18, 2025 to Jun 4, 2025
- Non-discretionary RAUM · $36.7M to $756MMar 18, 2025 to Jun 4, 2025
- Pension RAUM · $526M to $510MMar 18, 2025 to Jun 4, 2025
- Pooled vehicle RAUM · $135M to $222MMar 18, 2025 to Jun 4, 2025
- RAUM · $9.4B to $9.7BMar 18, 2025 to Jun 4, 2025
- Wrap assets (manager) · unset to 653645865.0Mar 18, 2025 to Jun 4, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 18, 2025 to Jun 4, 2025
- Accounts · 2,389 to 2,395Mar 21, 2024 to Mar 18, 2025
- Advisory employees · 35 to 36Mar 21, 2024 to Mar 18, 2025
Signals
9 dated events
- H•••••• A••• D•••••• G••••••• left T••••••••• A•••• M••••••••• L• for N•• E••• W••••• (registered 2025-10-20)Nov 20, 2025 · Advisor changed firm · fact
- T••••••••• A•••• M••••••••• L• reported 37 state-registered advisory representatives, up from 6 (2021-03-31 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- Helen Balk (Controller) no longer on Schedule A of T••••••••• A•••• M••••••••• L• (listed 2020-06-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Lance Jeffrey Zatkowsky (Chief Financial Officer) appeared on Schedule A of T••••••••• A•••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- T••••••••• A•••• M••••••••• L• reported RAUM $7.8B, down 29% from $10.9B (2020-02-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- O'Donnell Thomas Pandick (Chief Compliance Officer) no longer on Schedule A of T••••••••• A•••• M••••••••• L• (listed 2019-08-05, absent 2020-01-06)Jan 6, 2020 · Control person left · inference
- Joseph Robert Kramer (Chief Operating Officer) no longer on Schedule A of T••••••••• A•••• M••••••••• L• (listed 2019-08-05, absent 2020-01-06)Jan 6, 2020 · Control person left · inference
- Dubois Kelsey Graham (Chief Compliance Officer) appeared on Schedule A of T••••••••• A•••• M••••••••• L•Jan 6, 2020 · Control person joined · fact
- Ira Scott Schlesinger (Chief Operating Officer And President Of Gp) appeared on Schedule A of T••••••••• A•••• M••••••••• L•Jan 6, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- T••••••••• A•••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 800-697-3863reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-698-0800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-522-8860reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/43419reportedpublic record, Form ADV, Sep 18, 2026
- Website
- T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-698-0800reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- tocqueville.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- tocqueville.com/peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $320Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
T••••••••• A•••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…