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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Former SEC-registered adviser

T••••• B•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 106018SEC 801-10571IAPD
Latest filing Apr 25, 2017
First filing on the tape Apr 10, 2012 · 18 filings
RAUM
$434M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$434M as of Mar 31, 2017
Apr 10, 2012$630M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2017
Mar 27, 20131 then
Employees (5.A)9 as of Mar 31, 2017
Mar 27, 201315 then
Private funds: no history
RAUM +0.9% over the last fiscal year-3.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 25, 2017; every figure names its basis
RAUM per advisor
$434MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$778,020derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
558reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• H••••• D•••••• · Membercontrol
      since 07/1986 · owns 10% to 25%
    • H••••••• G•••••••• · Chief Financial Officercontrol
      since 01/2013 · owns less than 5%
    • R•••••• P•••••• L•• W•••• · Managing Member, Director, Investment Adviser Representativecontrol
      since 12/1995 · owns 5% to 10%
    • T••••••••• A•••••• C• · Chief Operating Officercontrol
      since 01/2012 · owns less than 5%
    • Y•••••• M••••••• S•••• · Presidentcontrol
      since 03/1987 · owns 75% or more of T••• I••••••••• C•••••••••
    • C••••••• I••••• · Member
      since 12/1995 · owns less than 5%
    • R••••••• J•••• H•••• · Member
      since 01/1991 · owns 25% to 50%
    • T••••• J••• · Member
      since 07/1986 · owns 10% to 25%
    Entity owners
    • C•••••• I••••••••• H•••••••• L••• · Limited Partner
      indirect · owns 75% or more of C•••••• International Investment Group, L.P.
    • T••• I••••••••• C••••••••• · Majority Equity Owner
      indirect · owns 50% to 75% of T.K. International LLC
    • T• I••••••••• L•• · General Partner
      indirect · owns F of C•••••• I••••••••• H•••••••• L•••
    • C•••••• I••••••••• I••••••••• G••••• L••• · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 582 to 558
      Feb 14, 2017 to Mar 31, 2017
    • Advisory employees · 3 to 4
      Feb 14, 2017 to Mar 31, 2017
    • Advisory activities · 2 to 4
      Feb 14, 2017 to Mar 31, 2017
    • Assets in custody · 10814518.0 to unset
      Feb 14, 2017 to Mar 31, 2017
    • Custody of client assets · true to false
      Feb 14, 2017 to Mar 31, 2017
    • Employees · 13 to 9
      Feb 14, 2017 to Mar 31, 2017
    • Discretionary RAUM · $417M to $426M
      Feb 14, 2017 to Mar 31, 2017
    • Non-discretionary RAUM · $7.8M to $8.0M
      Feb 14, 2017 to Mar 31, 2017
    • RAUM · $425M to $434M
      Feb 14, 2017 to Mar 31, 2017
    • Accounts · 281 to 582
      Mar 19, 2016 to Jul 2, 2016
    • Advisory employees · 4 to 3
      Mar 19, 2016 to Jul 2, 2016
    • Discretionary RAUM · $423M to $417M
      Mar 19, 2016 to Jul 2, 2016
    • Non-discretionary RAUM · $7.6M to $7.8M
      Mar 19, 2016 to Jul 2, 2016
    • RAUM · $430M to $425M
      Mar 19, 2016 to Jul 2, 2016
    • Accounts · 589 to 281
      Apr 2, 2015 to Mar 16, 2016
    • Advisory employees · 9 to 4
      Apr 2, 2015 to Mar 16, 2016
    • Advisory activities · 1 to 2
      Apr 2, 2015 to Mar 16, 2016
    • Assets in custody · $19.4M to $10.8M
      Apr 2, 2015 to Mar 16, 2016
    • Employees · 14 to 13
      Apr 2, 2015 to Mar 16, 2016
    • Financial planning clients · unset to 251-500
      Apr 2, 2015 to Mar 16, 2016
    • Discretionary RAUM · $455M to $423M
      Apr 2, 2015 to Mar 16, 2016
    • Non-discretionary RAUM · $12.9M to $7.6M
      Apr 2, 2015 to Mar 16, 2016
    • RAUM · $468M to $430M
      Apr 2, 2015 to Mar 16, 2016
    • Accounts · 570 to 589
      Dec 1, 2014 to Apr 2, 2015
    • Assets in custody · $9.7M to $19.4M
      Dec 1, 2014 to Apr 2, 2015
    • Discretionary RAUM · $473M to $455M
      Dec 1, 2014 to Apr 2, 2015
    • Non-discretionary RAUM · $12.0M to $12.9M
      Dec 1, 2014 to Apr 2, 2015
    • RAUM · $485M to $468M
      Dec 1, 2014 to Apr 2, 2015
    • Accounts · 623 to 570
      Dec 12, 2013 to Mar 21, 2014
    • Advisory employees · 7 to 9
      Dec 12, 2013 to Mar 21, 2014
    • Assets in custody · $3.5M to $9.7M
      Dec 12, 2013 to Mar 21, 2014
    • Employees · 15 to 14
      Dec 12, 2013 to Mar 21, 2014
    • Discretionary RAUM · $464M to $473M
      Dec 12, 2013 to Mar 21, 2014
    • Non-discretionary RAUM · $25.1M to $12.0M
      Dec 12, 2013 to Mar 21, 2014
    • RAUM · $489M to $485M
      Dec 12, 2013 to Mar 21, 2014
    • Accounts · 687 to 623
      Dec 13, 2012 to Mar 27, 2013
    • Advisory employees · 8 to 7
      Dec 13, 2012 to Mar 27, 2013
    • Assets in custody · unset to 3520161.0
      Dec 13, 2012 to Mar 27, 2013
    • Custody of client assets · false to true
      Dec 13, 2012 to Mar 27, 2013
    • Employees · 20 to 15
      Dec 13, 2012 to Mar 27, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026