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
1•• • M••• G••••• P•••••••
Legal name T•• B••• F•••• C••••••• L•••••
Latest filing Apr 28, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Feb 14, 1997
RAUM
$680M
reported, Item 5.F
Discretionary
100%
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
13
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$680M as of Apr 28, 2026
Mar 27, 2012$684M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 27, 20120 then
Employees (5.A)13 as of Apr 28, 2026
Mar 19, 20139 then
Private funds3 as of Apr 28, 2026
Mar 27, 20123 then
RAUM -29% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $227MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $680M, 3 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- Pooled investment vehicles$680M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $680M for 3 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• F••• I• L••• | Private Equity Fund | $583M | 46 | Mar 30, 2015 |
| B••• F••• X• L••• | Private Equity Fund | $456M | 48 | Mar 28, 2019 |
| T••• F•••••••• T••••••••• F••• L••• | Private Equity Fund | $38.2M | 17 | Mar 30, 2023 |
| B••• F••• V••• L•••no longer reported | Private Equity Fund | $0 | 0 | Mar 27, 2012 |
| B••• F••• V• L•••no longer reported | Private Equity Fund | $0 | 31 | Mar 27, 2012 |
| B••• F••• V•• L•••no longer reported | Private Equity Fund | $0 | 0 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••• C••••••• J••••• · President/Chief Executive Officercontrolsince 03/1997 · owns 75% or more
- M•••••• T•••••••• P••• · Chief Compliance Officersince 06/2000 · owns less than 5%
Related persons
Schedule D 7.A
- M••••• I• L•••pooled vehicle sponsory
- M••••• X• L•••pooled vehicle sponsory
- M••••• X• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $957,376,625 to $680,414,583 (-29.0%) between the annual amendments of 2025-03-28 and 2026-04-28; the peer median change was +8.0% (673 comparable advisers, 6.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 6.3% percentile
What changed
consecutive filings, newest first
- Assets in custody · $957M to $680MMar 28, 2025 to Mar 30, 2026
- Employees · 15 to 13Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $957M to $680MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $957M to $680MMar 28, 2025 to Mar 30, 2026
- RAUM · $957M to $680MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $1.1B to $957MOct 25, 2024 to Mar 28, 2025
- Employees · 18 to 15Oct 25, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.1B to $957MOct 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.1B to $957MOct 25, 2024 to Mar 28, 2025
- RAUM · $1.1B to $957MOct 25, 2024 to Mar 28, 2025
- Business name · 1•• A•• M••• G••••• P••••••• to 1•• • M••• G••••• P•••••••Mar 26, 2024 to Oct 25, 2024
- Business name · T•• B••• F•••• C••••••• L••••• to 1•• A•• M••• G••••• P•••••••Feb 21, 2024 to Mar 26, 2024
- Assets in custody · $1.2B to $1.1BFeb 21, 2024 to Mar 26, 2024
- Employees · 17 to 18Feb 21, 2024 to Mar 26, 2024
- Discretionary RAUM · $1.2B to $1.1BFeb 21, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $1.2B to $1.1BFeb 21, 2024 to Mar 26, 2024
- RAUM · $1.2B to $1.1BFeb 21, 2024 to Mar 26, 2024
- Assets in custody · $1.3B to $1.2BMar 28, 2022 to Mar 30, 2023
- Employees · 16 to 17Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.3B to $1.2BMar 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.3B to $1.2BMar 28, 2022 to Mar 30, 2023
- RAUM · $1.3B to $1.2BMar 28, 2022 to Mar 30, 2023
- Advisory employees · 9 to 10May 28, 2021 to Mar 28, 2022
- Assets in custody · $1.1B to $1.3BMay 28, 2021 to Mar 28, 2022
- Employees · 14 to 16May 28, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.1B to $1.3BMay 28, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $1.1B to $1.3BMay 28, 2021 to Mar 28, 2022
- RAUM · $1.1B to $1.3BMay 28, 2021 to Mar 28, 2022
- Advisory employees · 11 to 9Mar 26, 2020 to Mar 30, 2021
- Assets in custody · $1.4B to $1.1BMar 26, 2020 to Mar 30, 2021
- Employees · 15 to 14Mar 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.4B to $1.1BMar 26, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.4B to $1.1BMar 26, 2020 to Mar 30, 2021
- RAUM · $1.4B to $1.1BMar 26, 2020 to Mar 30, 2021
- Accounts · 4 to 3Mar 28, 2019 to Mar 26, 2020
- Advisory employees · 12 to 11Mar 28, 2019 to Mar 26, 2020
- Pooled vehicle clients · 4 to 3Mar 28, 2019 to Mar 26, 2020
- Assets in custody · $1.3B to $1.4BMar 28, 2019 to Mar 26, 2020
- Employees · 12 to 15Mar 28, 2019 to Mar 26, 2020
Signals
2 dated events
- 1•• • M••• G••••• P••••••• reported RAUM $680.4M, down 29% from $957.4M (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- 1•• • M••• G••••• P••••••• reported RAUM $1.3B, down 40% from $2.3B (2018-03-30 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- 1•• • M••• G••••• P••••••• · Independent Sponsorsshared crd · capital_provider
- 1•• • M••• G••••• P••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- 1•••••••••.coreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-855-6202reportedpublic record, Form ADV, Apr 28, 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
- Asset manager (funds and pooled vehicles)deriveda 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