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• R••• P•••• •••••••• I•••
Legal name T• R••• P•••• ••••••• I•••
Latest filing Jul 1, 2026
First filing on the tape Mar 29, 2012 · 42 filings
SEC status approved since Aug 9, 1991
RAUM
$6.6B
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
11
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$6.6B as of Jul 1, 2026
Mar 29, 2012$1.7B then
HNW client RAUM$0 as of Jul 1, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 27, 20130 then
Employees (5.A)11 as of Jul 1, 2026
Mar 27, 20132 then
Private funds2 as of Mar 29, 2021
Mar 31, 20151 then
RAUM +15% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
- $205MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%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
- +15%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $6.5B, 73 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)
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.6B85%
- Pension and profit-sharing plans$977M15%
- Corporations and businesses$1.5M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5B for 73 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.85 institutional_share=0.15 related_bd=true related_bank=true bd_reps=1.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T• R••• P•••• U••• L•••••••• C••• G••••• E••••• N•••••• P•••no longer reported | Other Private Fund | $66.9M | 2 | Mar 28, 2019 |
| T• R••• P•••• G••••• F•••••• G••••• E••••• P•••no longer reported | Other Private Fund | $35.8M | 2 | Mar 31, 2017 |
| T• R••• P•••• I••••••••• D••••••••• E••••• P•••no longer reported | Other Private Fund | $2.6M | 1 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• E••••• · D•••••••controlsince 01/2017 · owns less than 5%
- B••••• L•••••• E••••• · D•••••••controlsince 09/2023 · owns less than 5%
- G••••••••• L•••• B• · D•••••••controlsince 09/2023 · owns less than 5%
- H•••••••• M••••• M•••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- N•••••• C••••••••• C•••• · D•••••••/Presidentcontrolsince 06/2020 · owns less than 5%
- N••••• R•••• P••• · D•••••••controlsince 10/2022 · owns less than 5%
- O••••••••• D••••• N•• · Chief Legal Officercontrolsince 03/2008 · owns less than 5%
- O••••• J•••••••• A••• · D•••••••controlsince 09/2023 · owns less than 5%
Entity owners
- T• R••• P•••• A••••••••• I••• · Direct Ownerdirect · owns 75% or more
- T• R••• P•••• G••••• I••• · Indirect Ownerindirect · owns 75% or more of T• R••• P•••• A••••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- O•• H••• A••••••• ••••••••• P•• L••investment advisern
- O•• H••• A••••••• ••••••• L••investment advisern
- O•• H••• A•••••••• L•••investment adviserbanknRAUM $101B
- O•• ••• L••investment advisern
- O•• A• C••••••••• G•••••• L••investment adviserbankn
- O•• A• C••••••••• C••••• F••• G•••••• L••investment adviserbankn
- O•• A• D••••••••• C••••• G•••••• L••investment adviserbankn
- O•• A• D••••••••• C••••• I• G•••••• L•••investment adviserbankn
- O•• A•••• E••••••• C••••• F••• G•••••• L••investment adviserbankn
- O•• A••••••• C••••••••• C••••• F••• I• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• A••• C••••••••• C••••• G•••••• L••investment adviserbankn
- O•• B••• S•• G••••• I•• L••investment adviserbankn
- O•• B••• S•• G•••••• L••investment adviserbankn
- O•• B•••• B••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C• C••••••••• C••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• S••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C•• E••••••• E••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C•• E••••••• E••••• I• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C•• S••••••••• F••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• C•••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• O••••••••• C• •• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• O••••••••• G••••• I• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• S•••••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• S•••••••• I• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• C••••• M••••••••• C••••• F••• G•••••• L••investment adviserbankn
- O•• D••••••• C••••••••• C••••• F••• G•••••• L••investment adviserbankn
- O•• D••••••• C••••••••• C••••• F••••• G•••••• L••investment adviserbankn
- O•• D••••••••• C••••• S••••••••• •••••••• I•• G•••••• L••investment adviserbankn
- O•• D••••••••• C••••• S••••••••• G•••••• L••investment adviserbankpooled vehicle sponsorn
- O•• D••••••••• C••••• S••••••••• T•••••• F••• G•••••• L••investment adviserbankn
Advisers that list T• R••• P•••• •••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Canada7 employees
What changed
consecutive filings, newest first
- Accounts · 33 to 32Oct 3, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Oct 3, 2025 to Mar 31, 2026
- Pension plan clients · 5.0 to unsetOct 3, 2025 to Mar 31, 2026
- Assets in custody · $5.7B to $6.5BOct 3, 2025 to Mar 31, 2026
- Employees · 12 to 11Oct 3, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.7B to $6.6BOct 3, 2025 to Mar 31, 2026
- Pension RAUM · $1.1B to $977MOct 3, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $4.6B to $5.6BOct 3, 2025 to Mar 31, 2026
- RAUM · $5.7B to $6.6BOct 3, 2025 to Mar 31, 2026
- Accounts · 26 to 33Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 7 to 8Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 2 to 1Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 5Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 18 to 27Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $3.7B to $5.7BMar 28, 2024 to Mar 31, 2025
- Employees · 10 to 12Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $5.2B to $5.7BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $992M to $1.1BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $4.2B to $4.6BMar 28, 2024 to Mar 31, 2025
- RAUM · $5.2B to $5.7BMar 28, 2024 to Mar 31, 2025
- Accounts · 25 to 26Jan 2, 2024 to Mar 28, 2024
- Advisory employees · 6 to 7Jan 2, 2024 to Mar 28, 2024
- Pooled vehicle clients · 17 to 18Jan 2, 2024 to Mar 28, 2024
- Assets in custody · $3.4B to $3.7BJan 2, 2024 to Mar 28, 2024
- Employees · 8 to 10Jan 2, 2024 to Mar 28, 2024
- Discretionary RAUM · $4.7B to $5.2BJan 2, 2024 to Mar 28, 2024
- Pension RAUM · $1.0B to $992MJan 2, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $3.7B to $4.2BJan 2, 2024 to Mar 28, 2024
- RAUM · $4.7B to $5.2BJan 2, 2024 to Mar 28, 2024
- Advisory employees · 7 to 6Nov 18, 2022 to Mar 31, 2023
- BD registered reps · 3 to 2Nov 18, 2022 to Mar 31, 2023
- Corporate clients · 1.0 to unsetNov 18, 2022 to Mar 31, 2023
- Pension plan clients · 8 to 7Nov 18, 2022 to Mar 31, 2023
- Pooled vehicle clients · 16 to 17Nov 18, 2022 to Mar 31, 2023
- Assets in custody · $6.1B to $3.4BNov 18, 2022 to Mar 31, 2023
- Employees · 10 to 8Nov 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $6.1B to $4.7BNov 18, 2022 to Mar 31, 2023
- Pension RAUM · $1.4B to $1.0BNov 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.7B to $3.7BNov 18, 2022 to Mar 31, 2023
Signals
15 dated events
- Anne Jennifer Ohara (Director) appeared on Schedule A of T• R••• P•••• •••••••• I•••Oct 6, 2023 · Control person joined · fact
- E••••• L••••• B•••• (Director) appeared on Schedule A of T• R••• P•••• •••••••• I•••Oct 6, 2023 · Control person joined · fact
- B Leah Greenstein (Director) appeared on Schedule A of T• R••• P•••• •••••••• I•••Oct 6, 2023 · Control person joined · fact
- Lee Kerrie Welch (Chief Compliance Officer) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2023-03-31, absent 2023-07-26)Jul 26, 2023 · Control person left · inference
- M•••• M•••• H••••••• (Chief Compliance Officer) appeared on Schedule A of T• R••• P•••• •••••••• I•••Jul 26, 2023 · Control person joined · fact
- Marie Christine Morgan (Director) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2022-03-31, absent 2022-11-18)Nov 18, 2022 · Control person left · inference
- Paul Ryan Nolan (Director) appeared on Schedule A of T• R••• P•••• •••••••• I•••Nov 18, 2022 · Control person joined · fact
- Paul Ryan Nolan (Chief Compliance Officer) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2020-06-22, absent 2020-07-31)Jul 31, 2020 · Control person left · inference
- Lee Kerrie Heydt (Chief Compliance Officer) appeared on Schedule A of T• R••• P•••• •••••••• I•••Jul 31, 2020 · Control person joined · fact
- Cuddy Christopher Newman (Director/President) appeared on Schedule A of T• R••• P•••• •••••••• I•••Jun 22, 2020 · Control person joined · fact
- Charles Trant Robert Higginbotham (Director/President) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2020-04-09, absent 2020-06-22)Jun 22, 2020 · Control person left · inference
- T• R••• P•••• •••••••• I••• reported RAUM $4.5B, up 32% from $3.4B (2020-02-26 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Maria Lisa Hanes (Director) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2020-01-02, absent 2020-02-26)Feb 26, 2020 · Control person left · inference
- Wayne Keith Lewis (Director) no longer on Schedule A of T• R••• P•••• •••••••• I••• (listed 2019-02-01, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- T• R••• P•••• •••••••• I••• reported RAUM $2.9B, up 29% from $2.2B (2018-01-03 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T• R••• P•••• •••••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 410-345-2000reportedpublic record, Form ADV, Jul 1, 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