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Former SEC-registered adviser

T••••• I••••••••• A••••••• L•

Former SEC-registered adviserDallas, TexasCRD 120057SEC 801-61075IAPD
Latest filing Apr 7, 2017
First filing on the tape Apr 3, 2012 · 11 filings
RAUM
$203M
reported, Item 5.F
Discretionary
85%
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$173M gross assets
History
11 filings and snapshots on the tape
RAUM$203M as of Mar 28, 2017
Apr 3, 2012$301M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Apr 3, 20120 then
Employees (5.A)7 as of Mar 28, 2017
Apr 1, 201312 then
Private funds4 as of Mar 28, 2017
Apr 3, 20126 then
RAUM +4.8% over the last fiscal year-1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2017; 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
$20.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.0%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
+4.8%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$173M, 7 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)
  • 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
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
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$173M for 7 clientsreported
Compensation
% of AUM, fixed, 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• N•••••••• R••••••• V•••• F••• L•no longer reportedHedge Fund$14.2M6Apr 3, 2012
      T••••• N•••••••• E••••• L••••••••• F••• L•no longer reportedHedge Fund$10.9M6Apr 3, 2012
      T••••• N•••••••• M•••• F••• L•no longer reportedHedge Fund$9.9M10Apr 3, 2012
      T••••• I•••••••• S••••• L• • S•••• P•••• F••••••• R••• F•••Hedge Fund$8.0M10Apr 1, 2013
      T••••• I••••••••• S••••• L••no longer reportedHedge Fund$5.4M4Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• D••••••• R••••• · Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • C•••••• B••••• F•••••• · Chief Investment Officercontrol
        since 02/2006 · owns less than 5%
      • N••••••••• D••••••• M•••••• · Limited Partnercontrol
        since 03/2017 · owns 50% to 75% of T••••• H••••••• L•
      • N••••••••• D••••••• M•••••• · Managing Member/Sole Membercontrol
        since 03/2017 · owns 75% or more of T••••• H••••••• G• L••
      • M•••••••• K••••• F•••••• · Limited Partner
        since 03/2017 · owns 10% to 25%
      • T•••••• J••••• M•••••• · Limited Partner
        since 03/2017 · owns 10% to 25%
      Entity owners
      • T••••• H••••••• G• L•• · General Partner
        direct · owns less than 5%
      • T••••• H••••••• L• · Limited Partner
        direct · owns 75% or more
      • T••••• H••••••• G• L•• · General Partner
        indirect · owns F of T••••• H••••••• L•
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Old Greenwich, CT
      What changed
      consecutive filings, newest first
      • Assets in custody · $129M to $173M
        Jun 29, 2016 to Mar 28, 2017
      • Private funds · 3 to 4
        Jun 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $131M to $173M
        Jun 29, 2016 to Mar 28, 2017
      • Non-discretionary RAUM · $63.1M to $29.5M
        Jun 29, 2016 to Mar 28, 2017
      • RAUM · $194M to $203M
        Jun 29, 2016 to Mar 28, 2017
      • Advisory employees · 4 to 3
        Apr 14, 2015 to Mar 28, 2016
      • Advisory activities · 2 to 3
        Apr 14, 2015 to Mar 28, 2016
      • Assets in custody · $160M to $129M
        Apr 14, 2015 to Mar 28, 2016
      • Employees · 8 to 7
        Apr 14, 2015 to Mar 28, 2016
      • Private funds · 4 to 3
        Apr 14, 2015 to Mar 28, 2016
      • Discretionary RAUM · $143M to $131M
        Apr 14, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $17.0M to $63.1M
        Apr 14, 2015 to Mar 28, 2016
      • RAUM · $160M to $194M
        Apr 14, 2015 to Mar 28, 2016
      • Accounts · 12 to 10
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 5 to 4
        Mar 31, 2014 to Mar 27, 2015
      • Advisory activities · 3 to 2
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · $197M to $160M
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 9 to 8
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $211M to $143M
        Mar 31, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $3.9M to $17.0M
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $215M to $160M
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 15 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 8 to 5
        Apr 1, 2013 to Mar 31, 2014
      • BD registered reps · 1 to 0
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $93.8M to $197M
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 12 to 9
        Apr 1, 2013 to Mar 31, 2014
      • Private funds · 7 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $113M to $211M
        Apr 1, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $118M to $3.9M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $231M to $215M
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 14 to 15
        Nov 1, 2012 to Apr 1, 2013
      • Advisory employees · 9 to 8
        Nov 1, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 3
        Nov 1, 2012 to Apr 1, 2013
      • BD registered reps · 0 to 1
        Nov 1, 2012 to Apr 1, 2013
      • Assets in custody · $173M to $93.8M
        Nov 1, 2012 to Apr 1, 2013
      • Private funds · 6 to 7
        Nov 1, 2012 to Apr 1, 2013
      • Discretionary RAUM · $183M to $113M
        Nov 1, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $118M to $118M
        Nov 1, 2012 to Apr 1, 2013
      • RAUM · $301M to $231M
        Nov 1, 2012 to Apr 1, 2013
      • Advisory employees · unset to 9.0
        Apr 3, 2012 to Nov 1, 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
      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