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•• A•••• M•••••••••

Former SEC-registered adviserNorwalk, ConnecticutCRD 109139SEC 801-54432IAPD
Legal name T•••••• H•••••••• • B••••• I••
Latest filing Mar 2, 2021
First filing on the tape Mar 27, 2012 · 24 filings
RAUM
$606M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.3%
$7.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$606M as of Mar 30, 2020
Mar 27, 2012$1.5B then
HNW client RAUM$7.7M as of Mar 30, 2020
Mar 28, 2018$6.6M then
State-registered IARs (5.B.3)2 as of Mar 30, 2020
Mar 27, 20120 then
Employees (5.A)14 as of Mar 30, 2020
Mar 25, 201315 then
Private funds2 as of Mar 30, 2020
Mar 27, 20122 then
RAUM -17% over the last fiscal year-9.5% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 2, 2021; every figure names its basis
RAUM per advisor
$303MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
25derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$153,749derivedHNW RAUM over HNW clients
Average account
$9.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.2%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$41.0M, 2 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)
  • 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)
  • 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$374M64%
  • Investment companies$76.8M13%
  • Other investment advisers$52.8M9.1%
  • State and municipal entities$39.6M6.8%
  • Corporations and businesses$31.8M5.5%
  • High-net-worth individuals$7.7M1.3%
Individual clients
0reported
HNW clients
50reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
63reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $1.1M managedreported
Custody of client assets
$41.0M for 2 clientsreported
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
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• M••••••• F•••• L••Hedge Fund$7.6M3Mar 27, 2012
    T•• I••••••••• L••no longer reportedOther Private Fund$268,5164Mar 29, 2017
    M• I••••••••• L••no longer reportedOther Private Fund$137,8476Mar 23, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• W•••••• · Vice President, Portfolio Managercontrol
      since 01/2010 · owns less than 5%
    • C•••••• C••••••••• N••••••• · Chief Executive Officer, Portfolio Managercontrol
      since 10/2005 · owns less than 5%
    • D••••••••• K••••• E••••• · Vice Presidentcontrol
      since 01/2015 · owns less than 5%
    • K••••••• J••••• M•••••• · Chief Compliance Officercontrol
      since 10/2004 · owns less than 5%
    • M••••••••• M••••• · Vice Presidentcontrol
      since 01/2015 · owns less than 5%
    • C•••••• C••••••••• N••••••• · Shareholdercontrol
      since 08/2010 · owns 25% to 50% of T•••••• H•••••••• & B••••• II
    • K••••••••• V••••••• · Vice President
      since 10/2018 · owns less than 5%
    Entity owners
    • T•••••• H•••••••• • B••••• I•• I•• · 100% Shareholder
      direct · 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
    • Private funds · 2 to unset
      Jul 16, 2020 to Mar 2, 2021
    • Accounts · 60 to 63
      Mar 27, 2019 to Mar 30, 2020
    • Advisory employees · 9 to 8
      Mar 27, 2019 to Mar 30, 2020
    • BD registered reps · 4 to 0
      Mar 27, 2019 to Mar 30, 2020
    • Business name · T•••••• H•••••••• • B••••• I•• to T•• A•••• M•••••••••
      Mar 27, 2019 to Mar 30, 2020
    • HNW clients · 48 to 50
      Mar 27, 2019 to Mar 30, 2020
    • Pension plan clients · 1 to 0
      Mar 27, 2019 to Mar 30, 2020
    • Other offices · 1 to 0
      Mar 27, 2019 to Mar 30, 2020
    • Discretionary RAUM · $730M to $606M
      Mar 27, 2019 to Mar 30, 2020
    • HNW RAUM · $6.9M to $7.7M
      Mar 27, 2019 to Mar 30, 2020
    • Pension RAUM · 170839196.0 to unset
      Mar 27, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · $322M to $374M
      Mar 27, 2019 to Mar 30, 2020
    • RAUM · $730M to $606M
      Mar 27, 2019 to Mar 30, 2020
    • Wrap assets (manager) · $1.1M to $1.1M
      Mar 27, 2019 to Mar 30, 2020
    • Accounts · 44 to 60
      Sep 11, 2018 to Mar 27, 2019
    • Corporate clients · 0 to 1
      Sep 11, 2018 to Mar 27, 2019
    • HNW clients · 34 to 48
      Sep 11, 2018 to Mar 27, 2019
    • Pooled vehicle clients · 4 to 6
      Sep 11, 2018 to Mar 27, 2019
    • Assets in custody · $59.8M to $41.0M
      Sep 11, 2018 to Mar 27, 2019
    • State-registered IARs · 0 to 2
      Sep 11, 2018 to Mar 27, 2019
    • Discretionary RAUM · $774M to $730M
      Sep 11, 2018 to Mar 27, 2019
    • HNW RAUM · $6.6M to $6.9M
      Sep 11, 2018 to Mar 27, 2019
    • Pension RAUM · $33.1M to $171M
      Sep 11, 2018 to Mar 27, 2019
    • Pooled vehicle RAUM · $269M to $322M
      Sep 11, 2018 to Mar 27, 2019
    • RAUM · $774M to $730M
      Sep 11, 2018 to Mar 27, 2019
    • Assets in custody · $82.8M to $59.8M
      Apr 17, 2018 to Jul 6, 2018
    • Private funds · 3 to 2
      Apr 17, 2018 to Jul 6, 2018
    • Accounts · 23 to 44
      May 5, 2017 to Mar 28, 2018
    • Charity clients · unset to 0.0
      May 5, 2017 to Mar 28, 2018
    • Corporate clients · unset to 0.0
      May 5, 2017 to Mar 28, 2018
    • HNW clients · unset to 34.0
      May 5, 2017 to Mar 28, 2018
    • Individual clients · unset to 0.0
      May 5, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 1.0
      May 5, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 4.0
      May 5, 2017 to Mar 28, 2018
    • Other offices · unset to 1.0
      May 5, 2017 to Mar 28, 2018
    • Private funds · 4 to 3
      May 5, 2017 to Mar 28, 2018
    • Discretionary RAUM · $817M to $774M
      May 5, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 6645247.0
      May 5, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 0.0
      May 5, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 33062612.0
      May 5, 2017 to Mar 28, 2018
    Signals
    1 dated events
    • Whitsel William Bryant (Chairman, Treasurer, Director) no longer on Schedule A of T•• A•••• M••••••••• (listed 2019-03-27, absent 2020-03-30)
      Mar 30, 2020 · Control person left · inference
    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