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RIA Intelligence

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B•••••• I••••••••• G•••• T••• F•••••••• S•••••••

Former SEC-registered adviserFormer SEC adviser1 private funds

Former SEC-registered adviser, reporting $44.8M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$44.8M
Form ADV
RAUM change, 1 year
+2.9%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Apr 2013, RAUM $43.6M to $44.8M (+2.9%) on the Form ADV filed 3 Apr 2013.

Every filed figure, and the identifiersCRD 106404 · SEC 801-53568 · 5 filingsShow
CRD 106404SEC 801-53568Legal name T••• F•••••••• S••••••• I••First filing on the tape Mar 30, 2012, latest Apr 3, 2013IAPD
RAUM
$44.8M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$5.1M gross assets
History
5 filings and snapshots on the tape

RAUM +2.9% over the last fiscal year · the tape starts Mar 30, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$44.8M as of Apr 3, 2013
Mar 30, 2012$43.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 3, 2013
Mar 30, 20120 then
Employees (5.A): 1
Private funds1 as of Apr 3, 2013
Mar 30, 20121 then
RAUM +2.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 3, 2013; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
60%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+2.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
34reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• M••••• O••••••••• F•••• L•••Hedge Fund$5.1M0Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• J••••• · President,Ceo, Treasurer,Chief Compliance Officercontrol
        since 02/1998 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 34
        Dec 17, 2012 to Apr 3, 2013
      • Discretionary RAUM · $25.6M to $26.8M
        Dec 17, 2012 to Apr 3, 2013
      • RAUM · $43.6M to $44.8M
        Dec 17, 2012 to Apr 3, 2013
      • Advisory employees · unset to 1.0
        Jun 25, 2012 to Dec 17, 2012
      • Employees · unset to 1.0
        Jun 25, 2012 to Dec 17, 2012
      Full history · 6 changes
      • Financial planning clients · 11-25 to 1-10
        Jun 25, 2012 to Dec 17, 2012
      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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026