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•••••• G••••• A•••••••• L•

Former SEC-registered adviserWinter Park, FloridaCRD 107951SEC 801-57139IAPD
Latest filing Sep 6, 2018
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$4.3B
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
40
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$2.1B gross assets
History
23 filings and snapshots on the tape
RAUM$8.0B as of Mar 23, 2018
Mar 30, 2012$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2018
Mar 22, 20130 then
Employees (5.A)58 as of Mar 23, 2018
Mar 22, 201372 then
Private funds5 as of Mar 23, 2018
Mar 30, 20122 then
RAUM -45% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 6, 2018; 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
$284MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
54%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
+3.2%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$2.1B, 5 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.7B40%
  • Sovereign wealth funds$1.1B25%
  • Pension and profit-sharing plans$1.0B24%
  • State and municipal entities$234M5.5%
  • Investment companies$227M5.3%
  • Charitable organizations$4.6M0.1%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.1B for 5 clientsreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• E••••••• M•••••• F•••Hedge Fund$1.8B32Mar 11, 2014
      T•••••• E••••••• W••••• F•••Other Private Fund$171M4Mar 22, 2013
      I••••••••• G•••• T••••Other Private Fund$54.5M1Mar 30, 2012
      V••••• S••••• E••••••• M•••••• F•••Other Private Fund$4.1M16Mar 11, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••• R••••• · Head Of Business Dvlpmt, Client Service & Finance/Managing Director/Management Committee Member/Limited Partnercontrol
        since 05/2005 · owns less than 5%
      • M•••••••• J•••• F•••••• · Chief Financial Officer & Chief Compliance Officer/Assistant Secretary/Principal/Limited Partnercontrol
        since 09/1999 · owns less than 5%
      • S••••••••• P•••• · Senior Portfolio Manager/Managing Director/Management Committee Member/Limited Partnercontrol
        since 05/2005 · owns 5% to 10%
      • S•••••••• W••••••• P••• · Chief Executive Officer/ Chief Investment Officer/Managing Director/Management Committee Chairman/Limited Partnercontrol
        since 07/1999 · owns 5% to 10%
      • M•••• T•••••• A•••••• · Director Of Research/Managing Director/Limited Partner
        since 05/2005 · owns less than 5%
      Entity owners
      • A••••••••• M••••••• G••••• I•• · Managing Member And Sole Shareholder
        indirect · owns 75% or more of T•••••• N•• A••••••••• L•• · public reporting company
      • T•••••• N•• A••••••••• L•• · G•••••• Partner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY5 employees
      What changed
      consecutive filings, newest first
      • Accounts · 57 to 15
        Mar 23, 2018 to Sep 6, 2018
      • Advisory employees · 23 to 12
        Mar 23, 2018 to Sep 6, 2018
      • Corporate clients · 5.0 to unset
        Mar 23, 2018 to Sep 6, 2018
      • Pension plan clients · 22.0 to unset
        Mar 23, 2018 to Sep 6, 2018
      • Pooled vehicle clients · 13 to 6
        Mar 23, 2018 to Sep 6, 2018
      • Employees · 58 to 40
        Mar 23, 2018 to Sep 6, 2018
      • HQ city · NEW YORK to WINTER PARK
        Mar 23, 2018 to Sep 6, 2018
      • HQ state · NY to FL
        Mar 23, 2018 to Sep 6, 2018
      • Discretionary RAUM · $8.0B to $4.3B
        Mar 23, 2018 to Sep 6, 2018
      • Pension RAUM · $2.7B to $1.0B
        Mar 23, 2018 to Sep 6, 2018
      • Pooled vehicle RAUM · $381M to $1.7B
        Mar 23, 2018 to Sep 6, 2018
      • RAUM · $8.0B to $4.3B
        Mar 23, 2018 to Sep 6, 2018
      • Accounts · 30 to 57
        Mar 7, 2017 to Mar 23, 2018
      • Corporate clients · unset to 5.0
        Mar 7, 2017 to Mar 23, 2018
      • HNW clients · unset to 0.0
        Mar 7, 2017 to Mar 23, 2018
      • Individual clients · unset to 0.0
        Mar 7, 2017 to Mar 23, 2018
      • Pension plan clients · unset to 22.0
        Mar 7, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 13.0
        Mar 7, 2017 to Mar 23, 2018
      • Assets in custody · $1.7B to $2.1B
        Mar 7, 2017 to Mar 23, 2018
      • Employees · 62 to 58
        Mar 7, 2017 to Mar 23, 2018
      • Financial planning clients · unset to 0
        Mar 7, 2017 to Mar 23, 2018
      • Other offices · unset to 1.0
        Mar 7, 2017 to Mar 23, 2018
      • Discretionary RAUM · $7.8B to $8.0B
        Mar 7, 2017 to Mar 23, 2018
      • Pension RAUM · unset to 2724856785.0
        Mar 7, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 380519191.0
        Mar 7, 2017 to Mar 23, 2018
      • RAUM · $7.8B to $8.0B
        Mar 7, 2017 to Mar 23, 2018
      • Accounts · 29 to 30
        Nov 28, 2016 to Mar 7, 2017
      • Assets in custody · $1.9B to $1.7B
        Nov 28, 2016 to Mar 7, 2017
      • Employees · 65 to 62
        Nov 28, 2016 to Mar 7, 2017
      • Discretionary RAUM · $8.1B to $7.8B
        Nov 28, 2016 to Mar 7, 2017
      • RAUM · $8.1B to $7.8B
        Nov 28, 2016 to Mar 7, 2017
      • Accounts · 39 to 29
        May 2, 2016 to Oct 11, 2016
      • Assets in custody · $1.9B to $1.9B
        May 2, 2016 to Oct 11, 2016
      • Employees · 70 to 65
        May 2, 2016 to Oct 11, 2016
      • Discretionary RAUM · $9.2B to $8.1B
        May 2, 2016 to Oct 11, 2016
      • RAUM · $9.2B to $8.1B
        May 2, 2016 to Oct 11, 2016
      • Accounts · 47 to 39
        Sep 9, 2015 to Mar 8, 2016
      • Advisory employees · 22 to 23
        Sep 9, 2015 to Mar 8, 2016
      • Assets in custody · $2.4B to $1.9B
        Sep 9, 2015 to Mar 8, 2016
      • Discretionary RAUM · $13B to $9.2B
        Sep 9, 2015 to Mar 8, 2016
      Signals
      1 dated events
      • T•••••• G••••• A•••••••• L• reported RAUM $4.3B, down 47% from $8.0B (2018-03-23 to 2018-09-06)
        Sep 6, 2018 · RAUM change · derived
      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