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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T••••••• C•• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 128838SEC 801-62492IAPD
Latest filing Apr 12, 2017
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$61.6M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$61.6M gross assets
History
10 filings and snapshots on the tape
RAUM$59.0M as of Mar 30, 2017
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)5 as of Mar 30, 2017
Mar 28, 20138 then
Private funds2 as of Mar 30, 2017
Mar 30, 20128 then
RAUM -15% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 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
$30.8MderivedRAUM 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
-18%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 pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$204M12Mar 30, 2012
      T••• 2••••• O••••••• L••••••Securitized Asset Fund$10.8M10Mar 30, 2012
      T••• 2•••••• L•••Securitized Asset Fund$9.4M8Mar 30, 2012
      T••••••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$5.1M15Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••••• G••• · Principalcontrol
        since 07/2003 · owns less than 5%
      • I••••••••• A••• · Principalcontrol
        since 07/2003 · owns less than 5%
      • M••••• J••••• E••••• · G•••Ral Counselcontrol
        since 02/2008 · owns less than 5%
      • S•••••••• A•••••• K•••• · Chief Compliance Officercontrol
        since 03/2017 · owns less than 5%
      • B•••••• M••••••• G••• · Managing Member Of T••••••• H••••••• G•• L••control
        since 07/2007 · owns 50% to 75% of T••••••• H•••••••• L••• & T••••••• H••••••• G•• L••
      • I••••••••• A••• · Managing Member Of T••••••• H••••••• G•• L••control
        since 07/2007 · owns 25% to 50% of T••••••• H•••••••• L••• & T••••••• H••••••• G•• L••
      Entity owners
      • T••••••• H•••••••• L••• · Parent Entity
        direct · owns 75% or more
      • T••••••• H••••••• G•• L•• · G•••Ral Partner Of T••••••• H•••••••• L•••
        indirect · owns F of T••••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      • F••••••• F•••••••• C•••••••••
        real estaten
      • M••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • S••••• I• G•• L••
        investment adviserpooled vehicle sponsorn
      • T•••• A•••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•••••• A•••• M••••••••• C••••••• L••
        investment adviserpooled vehicle sponsornRAUM $76.3M
      • T•••••• Advisors, LLC
        investment adviserpooled vehicle sponsornRAUM $2.3B
      • T••••••• C••••••• L••
        investment adviserpooled vehicle sponsorn
      • T••••••• C•••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      • T••••••• D••••••••• A•• S•••••• S••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      • T••••••• D••••••••• A•• S•••••• S••••••••• I• G•• L••
        investment adviserpooled vehicle sponsorn
      • T••••••• E••••• L••
        investment advisern
      • T••••••• F••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $59.0M to $61.6M
        Mar 30, 2017 to Apr 12, 2017
      • RAUM · $59.0M to $61.6M
        Mar 30, 2017 to Apr 12, 2017
      • Private funds · 3 to 2
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 3 to 2
        Mar 29, 2016 to Mar 30, 2017
      • Advisory employees · 6 to 3
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 6 to 5
        Mar 29, 2016 to Mar 30, 2017
      • Financial planning clients · 0 to unset
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $72.1M to $59.0M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $72.1M to $59.0M
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 4 to 3
        Jul 29, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 6
        Jul 29, 2015 to Mar 29, 2016
      • Employees · 8 to 6
        Jul 29, 2015 to Mar 29, 2016
      • Private funds · 4 to 3
        Jul 29, 2015 to Mar 29, 2016
      • Discretionary RAUM · $99.4M to $72.1M
        Jul 29, 2015 to Mar 29, 2016
      • RAUM · $99.4M to $72.1M
        Jul 29, 2015 to Mar 29, 2016
      • Related broker-dealer · true to false
        Jul 29, 2015 to Mar 29, 2016
      • Employees · 7 to 8
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $113M to $99.4M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $113M to $99.4M
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 6 to 4
        Apr 24, 2013 to Mar 28, 2014
      • Employees · 8 to 7
        Apr 24, 2013 to Mar 28, 2014
      • Discretionary RAUM · $232M to $113M
        Apr 24, 2013 to Mar 28, 2014
      • RAUM · $232M to $113M
        Apr 24, 2013 to Mar 28, 2014
      • Discretionary RAUM · $189M to $232M
        Mar 28, 2013 to Apr 24, 2013
      • RAUM · $189M to $232M
        Mar 28, 2013 to Apr 24, 2013
      • Accounts · 5 to 4
        Jul 6, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Jul 6, 2012 to Mar 28, 2013
      • Employees · unset to 8.0
        Jul 6, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 6, 2012 to Mar 28, 2013
      • Private funds · 5 to 4
        Jul 6, 2012 to Mar 28, 2013
      • Discretionary RAUM · $401M to $189M
        Jul 6, 2012 to Mar 28, 2013
      • RAUM · $401M to $189M
        Jul 6, 2012 to Mar 28, 2013
      • Related bank · false to true
        Jul 6, 2012 to Mar 28, 2013
      • Accounts · 9 to 5
        Mar 30, 2012 to Jul 6, 2012
      • Private funds · 8 to 5
        Mar 30, 2012 to Jul 6, 2012
      • Discretionary RAUM · $1.5B to $401M
        Mar 30, 2012 to Jul 6, 2012
      • RAUM · $1.5B to $401M
        Mar 30, 2012 to Jul 6, 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