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

K••• C•••••• M•••••••••

Former SEC-registered adviserCRD 131572SEC 801-63303IAPD
Legal name T• P••••••• M••••••••• L•
Latest filing Feb 3, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$69.6M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$69.6M gross assets
History
12 filings and snapshots on the tape
RAUM$69.6M as of Feb 3, 2017
Mar 30, 2012$333M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2017
Mar 25, 20130 then
Employees (5.A)2 as of Feb 3, 2017
Mar 25, 20133 then
Private funds3 as of Feb 3, 2017
Mar 30, 20124 then
RAUM -22% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 3, 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
$23.2MderivedRAUM 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
-22%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 pooled vehiclesreportedItem 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••••• F•••• L•no longer reportedHedge Fund$9.0M30Mar 30, 2012
      K••• F•••Hedge Fund$74,95865Mar 30, 2012
      K••• Q•••••••• F•••Hedge Fund$24,38329Mar 30, 2012
      T••••• O••••••• F•••• L•••Hedge Fund$039Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• W••••••• R•••••• · Managing Member/Chief Compliance Officercontrol
        since 05/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      • T• P••••••• M••••••••• I• L••
        pooled vehicle sponsorn
      • W•••••• R• T•••••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to unset
        Mar 29, 2016 to Feb 3, 2017
      • HQ state · NY to unset
        Mar 29, 2016 to Feb 3, 2017
      • Discretionary RAUM · $89.2M to $69.6M
        Mar 29, 2016 to Feb 3, 2017
      • RAUM · $89.2M to $69.6M
        Mar 29, 2016 to Feb 3, 2017
      • Discretionary RAUM · $98.2M to $89.2M
        Dec 11, 2015 to Mar 29, 2016
      • RAUM · $98.2M to $89.2M
        Dec 11, 2015 to Mar 29, 2016
      • Business name · T• P••••••• M••••••••• L• to K••• C•••••• M•••••••••
        Mar 31, 2014 to Mar 13, 2015
      • Discretionary RAUM · $102M to $98.2M
        Mar 31, 2014 to Mar 13, 2015
      • RAUM · $102M to $98.2M
        Mar 31, 2014 to Mar 13, 2015
      • Discretionary RAUM · $94.5M to $102M
        Oct 7, 2013 to Mar 31, 2014
      • RAUM · $94.5M to $102M
        Oct 7, 2013 to Mar 31, 2014
      • Accounts · 6 to 3
        Jul 18, 2013 to Oct 7, 2013
      • Advisory employees · 2 to 1
        Jul 18, 2013 to Oct 7, 2013
      • Advisory activities · 2 to 1
        Jul 18, 2013 to Oct 7, 2013
      • Employees · 3 to 2
        Jul 18, 2013 to Oct 7, 2013
      • Private funds · 4 to 3
        Jul 18, 2013 to Oct 7, 2013
      • Discretionary RAUM · $183M to $94.5M
        Jul 18, 2013 to Oct 7, 2013
      • RAUM · $183M to $94.5M
        Jul 18, 2013 to Oct 7, 2013
      • Discretionary RAUM · $333M to $183M
        Jan 30, 2013 to Mar 25, 2013
      • RAUM · $333M to $183M
        Jan 30, 2013 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Dec 17, 2012
      • Employees · unset to 3.0
        Mar 30, 2012 to Dec 17, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Dec 17, 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