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•• E••••••••• L••
Latest filing Mar 29, 2018
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$92.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$92.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$92.1M as of Mar 29, 2018
Mar 29, 2012$119M then
HNW client RAUM: $92.1M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 29, 20120 then
Employees (5.A)4 as of Mar 29, 2018
Mar 22, 20134 then
Private funds: no history
RAUM +4.5% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $15.3MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +4.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.1M100%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D••••• E••• · Authorized Representative Of Managing Membercontrolsince 03/2007 · owns less than 5%
- P••••••••• S••••••• H••••• · Authorized Representative Of Managing Membercontrolsince 03/2003 · owns less than 5%
- S•••••• T••••••• P••••• · Authorized Representative Of Managing Membercontrolsince 05/2006 · owns less than 5%
- W••••••••• C•••••• · Authorized Representative Of Managing Membercontrolsince 03/2003 · owns less than 5%
- B•••••• D••••• E••• · Presidentcontrolsince 10/2009 · owns F of Tag Associates Holdings LLC
- F••••••• G•••• L•• · Chairmancontrolsince 10/2009 · owns 75% or more of Tag Associates Holdings LLC
- G•••••••• J••••• L• · Chief Compliance Officersince 03/2012 · owns less than 5%
Entity owners
- E••••••••• H••••••• L•• · Managing Memberdirect · owns 50% to 75%
- T•• A••••••••• L•• · Managing Memberdirect · owns 50% to 75%
- E••••••••• L•• · Memberindirect · owns 75% or more of E••••••••• Holdings,LLC
- T•• A••••••••• H••••••••• · Memberindirect · owns 75% or more of Tag Associates, LLC
Related persons
Schedule D 7.A
- Hillcrest Wealth Advisors - Ny, LLCinvestment adviserLP sponsornRAUM $391M
- G• C•••••• A•••• A•••••••• L••investment advisernRAUM $288M
- G• C•••••• A•••• M••••••••• L••investment advisern
- G• C•••••• C•• G•• L••pooled vehicle sponsorn
- G• C•••••• P•••••• E••••• G• I•• L••pooled vehicle sponsorn
- G• C•••••• P•••••• E••••• G•• L••pooled vehicle sponsorn
- G• C•••••• P•••••• E••••• M••••••••• L••investment advisern
- G• C•••••• R••• E••••• G•• L••pooled vehicle sponsorn
- G• C•••••• R••• E••••• G•• L•pooled vehicle sponsorn
- G• E•••••••• V••••••• G•• L••pooled vehicle sponsorn
- G• P•• G•• L••pooled vehicle sponsorn
- G• R•••••••• D•••• G•• L••pooled vehicle sponsorn
- T•• A••••••••• L••investment adviserbankpooled vehicle sponsoryRAUM $7.1B
- T•• P•••••••• M••••••••• G•••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 27 to 26Mar 29, 2017 to Mar 29, 2018
- HNW clients · unset to 6.0Mar 29, 2017 to Mar 29, 2018
- Assets in custody · $5.5M to $9.1MMar 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 92090000.0Mar 29, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $88.1M to $92.1MMar 29, 2017 to Mar 29, 2018
- RAUM · $88.1M to $92.1MMar 29, 2017 to Mar 29, 2018
- Accounts · 44 to 27Mar 30, 2016 to Mar 29, 2017
- Assets in custody · $5.2M to $5.5MMar 30, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $126M to $88.1MMar 30, 2016 to Mar 29, 2017
- RAUM · $126M to $88.1MMar 30, 2016 to Mar 29, 2017
- Accounts · 39 to 44Sep 22, 2015 to Mar 30, 2016
- Assets in custody · $5.4M to $5.2MSep 22, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $130M to $126MSep 22, 2015 to Mar 30, 2016
- RAUM · $130M to $126MSep 22, 2015 to Mar 30, 2016
- Assets in custody · unset to 5431714.0Mar 31, 2015 to Sep 22, 2015
- Accounts · 37 to 39Jun 30, 2014 to Mar 31, 2015
- Advisory activities · 3 to 2Jun 30, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $133M to $130MJun 30, 2014 to Mar 31, 2015
- RAUM · $133M to $130MJun 30, 2014 to Mar 31, 2015
- Accounts · 36 to 37Mar 22, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $120M to $133MMar 22, 2013 to Mar 31, 2014
- RAUM · $120M to $133MMar 22, 2013 to Mar 31, 2014
- Accounts · 37 to 36Mar 29, 2012 to Mar 22, 2013
- Advisory employees · unset to 2.0Mar 29, 2012 to Mar 22, 2013
- Employees · unset to 4.0Mar 29, 2012 to Mar 22, 2013
- Non-discretionary RAUM · $119M to $120MMar 29, 2012 to Mar 22, 2013
- RAUM · $119M to $120MMar 29, 2012 to Mar 22, 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