DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••• P••••••• L•

Former SEC-registered adviserFormer SEC adviser8 private funds· Greenwich, Connecticut

Former SEC-registered adviser, based in Greenwich, Connecticut, reporting $317M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$317M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-76%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 126486 · SEC 801-62070 · 3 filingsShow
CRD 126486SEC 801-62070First filing on the tape Mar 26, 2012, latest Apr 1, 2013IAPD
RAUM
$317M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$594M gross assets
History
3 filings and snapshots on the tape
RAUM$317M as of Apr 1, 2013
Mar 26, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 10
Private funds8 as of Apr 1, 2013
Mar 26, 201215 then
RAUM -76% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$35.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-76%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, otherreportedItem 5.G
Custody
$295M, 12 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
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$295M for 12 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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• G••••• E••••• M•••• F••• L•••Hedge Fund$291M31Mar 26, 2012
      T••••• G••••• E••••• M•••• O•••••• F••• L•••Hedge Fund$242M25Mar 26, 2012
      T••••• E••••••• M•••••• O••••••••• F••• L•Hedge Fund$158M17Mar 26, 2012
      T••••• E••••••• M•••••• O••••••••• O•••••• F••• L•Hedge Fund$143M12Mar 26, 2012
      T••••• E••••••• M•••••• E••••• F••• L•••Hedge Fund$114M9Mar 26, 2012
      T••••• E••••••• M•••••• O•••••• F••• L••Hedge Fund$92.2M7Mar 26, 2012
      T••••• F••• L•Hedge Fund$88.0M53Mar 26, 2012
      T••••• F••• O•••••• L•Hedge Fund$72.5M38Mar 26, 2012
      T••••••••• H••••• C••• O•••••• F••• L•••Hedge Fund$69.5M9Mar 26, 2012
      T••••• G••••• E••••• M•••• O••••••• F••• L••Hedge Fund$48.4M6Mar 26, 2012
      T••••• F••• O••••••• I• L•Hedge Fund$46.5M4Mar 26, 2012
      T•••••• S•••• H••••••••• O••••••• F••• L••Hedge Fund$33.3M11Mar 26, 2012
      T••••• E••••••• M•••••• E••••• O••••••• F••• L••Hedge Fund$21.3M4Mar 26, 2012
      T••••• E••••••• M•••••• O••••••••• O••••••• F•••• L•••Hedge Fund$14.8M5Mar 26, 2012
      T••••• F••• O••••••• L•Hedge Fund$14.1M12Mar 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••• · Managing Partner, Chief Compliance Officercontrol
        since 03/2007 · owns less than 5%
      Entity owners
      • T••••• M••••••••• H••••••• L• · O•••• A•• L•••••• P•••••• O• T••••• P••••••• L•
        direct · owns 75% or more
      • T••••• P••••••• G• L•• · G•••••• P•••••• O• T••••• P••••••• L•
        direct · owns less than 5%
      • T••••• M••••••••• H••••••• G• L•• · General Partner
        indirect · owns F of T••••• M••••••••• H••••••• L•
      • T••••• M••••••••• S•• G• L•• · General Partner
        indirect · owns F of T••••• M••••••••• S•• L•
      • T••••• M••••••••• S•• L• · Limited Partner
        indirect · owns 75% or more of T••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      • T••••• E••••••• M•••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • T••••• E••••••• M•••••• O••••••••• O•••••• F••• G• L••
        pooled vehicle sponsorn
      • T••••• F••• F••••• G• L••
        pooled vehicle sponsorn
      • T••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 42 to 9
        Aug 7, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Aug 7, 2012 to Apr 1, 2013
      • Advisory activities · 3 to 2
        Aug 7, 2012 to Apr 1, 2013
      • Assets in custody · $866M to $295M
        Aug 7, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Aug 7, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Aug 7, 2012 to Apr 1, 2013
      • Private funds · 15 to 8
        Aug 7, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.3B to $317M
        Aug 7, 2012 to Apr 1, 2013
      • RAUM · $1.3B to $317M
        Aug 7, 2012 to Apr 1, 2013
      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