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 adviserToronto, Ontario, CRD 110088SEC 801-50261IAPD
Legal name T••• U•• I•••
Latest filing Jan 27, 2022
First filing on the tape Dec 21, 2011 · 44 filings
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.7%
$332M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
433
46 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$4.9B as of Jan 29, 2021
Jan 31, 2012$14B then
HNW client RAUM$332M as of Jan 29, 2021
Jan 25, 2018$2.0B then
State-registered IARs (5.B.3)0 as of Jan 29, 2021
Jan 29, 20130 then
Employees (5.A)433 as of Jan 29, 2021
Jan 29, 2013294 then
Private funds: no history
RAUM -25% over the last fiscal year-23% a year over threeIARs 0 to 0offices 4 to 3
Practice profile
derived from the filing of Jan 27, 2022; 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
$2.9MderivedHNW RAUM over HNW clients
Average account
$11.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-92%derived
Compensation
percentage of assets, fixed feesreportedItem 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
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$2.3B46%
  • Corporations and businesses$1.3B26%
  • Pooled investment vehicles$931M19%
  • High-net-worth individuals$332M6.7%
  • Charitable organizations$85.0M1.7%
  • Insurance companies$31.5M0.6%
  • Pension and profit-sharing plans$939,4510.0%
Individual clients
0reported
HNW clients
113reported
Pension plan clients
1reported
Charitable clients
7reported
Accounts
424reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $396M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J•••• · Directorcontrol
        since 03/2017 · owns less than 5%
      • C•••••• B•••• · Chief Executive Officer & Directorcontrol
        since 10/2016 · owns less than 5%
      • D••••• G••••• S• · Directorcontrol
        since 06/2015 · owns less than 5%
      • H••••••• P••••••• A••••• · Directorcontrol
        since 11/2019 · owns less than 5%
      • S•••••••• J••••• A••••••• · Directorcontrol
        since 04/2020 · owns less than 5%
      • B••••••• D••••• A••••• · Chief Compliance Officer
        since 07/2019 · owns less than 5%
      • K••••• L•••••• · Chief Financial Officer
        since 04/2021 · owns less than 5%
      Entity owners
      • T• B••• U• H•••••• C• · Shareholder
        direct · owns 75% or more
      • T• G•••• U• H••••••• L•• · Direct Owner
        indirect · owns 75% or more of T• B••• U• H•••••• C•
      • T•• T••••••••• B••• · Direct Owner
        indirect · owns 75% or more of T• G•••• U• H••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list T• A•••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY11 employees
      • Regina, Saskatchewan, Canada11 employees
      • Kowloon, Hong Kong2 employees
      What changed
      consecutive filings, newest first
      • Other offices · 4 to 3
        Apr 27, 2021 to Jan 26, 2022
      • Accounts · 3,029 to 424
        Jun 10, 2020 to Jan 29, 2021
      • Advisory employees · 121 to 46
        Jun 10, 2020 to Jan 29, 2021
      • Charity clients · 38 to 7
        Jun 10, 2020 to Jan 29, 2021
      • Corporate clients · 146 to 114
        Jun 10, 2020 to Jan 29, 2021
      • HNW clients · 534 to 113
        Jun 10, 2020 to Jan 29, 2021
      • Individual clients · 893 to 0
        Jun 10, 2020 to Jan 29, 2021
      • Employees · 395 to 433
        Jun 10, 2020 to Jan 29, 2021
      • Discretionary RAUM · $6.6B to $4.9B
        Jun 10, 2020 to Jan 29, 2021
      • HNW RAUM · $2.0B to $332M
        Jun 10, 2020 to Jan 29, 2021
      • Individual RAUM · $118M to $0
        Jun 10, 2020 to Jan 29, 2021
      • Pension RAUM · $3.8M to $939,451
        Jun 10, 2020 to Jan 29, 2021
      • Pooled vehicle RAUM · $825M to $931M
        Jun 10, 2020 to Jan 29, 2021
      • RAUM · $6.6B to $4.9B
        Jun 10, 2020 to Jan 29, 2021
      • Wrap assets (manager) · $383M to $396M
        Jun 10, 2020 to Jan 29, 2021
      • Accounts · 3,158 to 3,029
        Jul 17, 2019 to Jan 28, 2020
      • Advisory employees · 157 to 121
        Jul 17, 2019 to Jan 28, 2020
      • Charity clients · 44 to 38
        Jul 17, 2019 to Jan 28, 2020
      • Corporate clients · 158 to 146
        Jul 17, 2019 to Jan 28, 2020
      • HNW clients · 499 to 534
        Jul 17, 2019 to Jan 28, 2020
      • Individual clients · 1,026 to 893
        Jul 17, 2019 to Jan 28, 2020
      • Pension plan clients · 6 to 1
        Jul 17, 2019 to Jan 28, 2020
      • Employees · 396 to 395
        Jul 17, 2019 to Jan 28, 2020
      • Other offices · 2 to 4
        Jul 17, 2019 to Jan 28, 2020
      • Discretionary RAUM · $4.8B to $6.6B
        Jul 17, 2019 to Jan 28, 2020
      • HNW RAUM · $1.8B to $2.0B
        Jul 17, 2019 to Jan 28, 2020
      • Individual RAUM · $144M to $118M
        Jul 17, 2019 to Jan 28, 2020
      • Non-discretionary RAUM · $20.8M to $0
        Jul 17, 2019 to Jan 28, 2020
      • Pension RAUM · $123M to $3.8M
        Jul 17, 2019 to Jan 28, 2020
      • Pooled vehicle RAUM · $633M to $825M
        Jul 17, 2019 to Jan 28, 2020
      • RAUM · $4.8B to $6.6B
        Jul 17, 2019 to Jan 28, 2020
      • Wrap assets (manager) · $410M to $383M
        Jul 17, 2019 to Jan 28, 2020
      • Accounts · 3,484 to 3,158
        Apr 19, 2018 to Jan 29, 2019
      • Advisory employees · 150 to 157
        Apr 19, 2018 to Jan 29, 2019
      • Charity clients · 47 to 44
        Apr 19, 2018 to Jan 29, 2019
      • HNW clients · 587 to 499
        Apr 19, 2018 to Jan 29, 2019
      • Individual clients · 1,054 to 1,026
        Apr 19, 2018 to Jan 29, 2019
      • Pension plan clients · 23 to 6
        Apr 19, 2018 to Jan 29, 2019
      • Employees · 385 to 396
        Apr 19, 2018 to Jan 29, 2019
      • Discretionary RAUM · $11B to $4.8B
        Apr 19, 2018 to Jan 29, 2019
      Signals
      6 dated events
      • T• A•••• M••••••••• reported RAUM $4.9B, down 25% from $6.6B (2020-06-10 to 2021-01-29)
        Jan 29, 2021 · RAUM change · derived
      • Albert Philipp Hensler (Director) appeared on Schedule A of T• A•••• M•••••••••
        May 20, 2020 · Control person joined · fact
      • Michael Rodney Thorfinnson (Chief Administrative Officer, Chief Risk Officer And Director) no longer on Schedule A of T• A•••• M••••••••• (listed 2020-01-28, absent 2020-05-19)
        May 19, 2020 · Control person left · inference
      • A••••••• J•••• S••••••• (Director) appeared on Schedule A of T• A•••• M•••••••••
        May 19, 2020 · Control person joined · fact
      • T• A•••• M••••••••• reported RAUM $6.6B, up 38% from $4.8B (2019-07-17 to 2020-01-28)
        Jan 28, 2020 · RAUM change · derived
      • T• A•••• M••••••••• reported RAUM $4.8B, down 57% from $11.0B (2018-04-19 to 2019-01-29)
        Jan 29, 2019 · 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