DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

T•••• L••

Former SEC-registered adviserCRD 135733SEC 801-64432IAPD

Latest filing Feb 23, 2022

First filing on the tape Dec 14, 2011 · 16 filings

RAUM

$330M

reported, Item 5.F

Discretionary

7.7%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$25.4M gross assets

History

16 filings and snapshots on the tape

RAUM$330M as of Mar 26, 2021

Mar 29, 2012$102M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2021

Mar 29, 20120 then

Employees (5.A)5 as of Mar 26, 2021

Mar 28, 20137 then

Private funds1 as of Mar 26, 2021

Mar 29, 20122 then

RAUM +23% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 23, 2022; 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: $82.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 7.7%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: +23%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 vehicles, selection of other advisersreportedItem 5.G
Custody: $25.4M, 1 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

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)
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

Pooled investment vehicles$330M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $25.4M for 1 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 departure Every arrival

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E•••• O••••••• I• L••no longer reported	Hedge Fund	$105M	104	Dec 14, 2011
S•••• M••••• ••••••• S••no longer reported	Hedge Fund	$44.0M	5	Mar 29, 2018
A••••••••• M•••••• F•••••• F•••• L•	Hedge Fund	$32.0M	76	Mar 28, 2014
T•••••••• U•••• S••••• O••••••• F••• L••no longer reported	Hedge Fund	$978,000	8	Mar 28, 2014
T•••••• C••••••••• M••••• F•••• L•no longer reported	Hedge Fund	$300,000	103	Dec 14, 2011
T•••••••• U•••• S••••• F••• L•no longer reported	Hedge Fund	$0	0	Mar 28, 2014

Owners and control persons

Schedule A and B, latest filing

N•••••• R••••• K• · Managing Membercontrol
since 03/2005 · owns 75% or more
W•••••• J••••• L•••• · Chief Compliance Officer, Chief Operating Officercontrol
since 07/2019 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Advisers that list T•••• L•• as a related person

161578 n
299086 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HQ city · LOS ANGELES to unset
Mar 26, 2021 to Feb 23, 2022
HQ state · CA to unset
Mar 26, 2021 to Feb 23, 2022
Advisory employees · 5 to 4
Apr 2, 2020 to Mar 26, 2021
Assets in custody · $24.2M to $25.4M
Apr 2, 2020 to Mar 26, 2021
Employees · 6 to 5
Apr 2, 2020 to Mar 26, 2021
Discretionary RAUM · $24.2M to $25.4M
Apr 2, 2020 to Mar 26, 2021
Non-discretionary RAUM · $245M to $305M
Apr 2, 2020 to Mar 26, 2021
Pooled vehicle RAUM · $269M to $330M
Apr 2, 2020 to Mar 26, 2021
RAUM · $269M to $330M
Apr 2, 2020 to Mar 26, 2021
Accounts · 6 to 4
Jul 3, 2019 to Mar 30, 2020
Advisory employees · 8 to 5
Jul 3, 2019 to Mar 30, 2020
Pooled vehicle clients · 6 to 4
Jul 3, 2019 to Mar 30, 2020
Assets in custody · $92.3M to $24.2M
Jul 3, 2019 to Mar 30, 2020
Employees · 9 to 6
Jul 3, 2019 to Mar 30, 2020
Private funds · 3 to 1
Jul 3, 2019 to Mar 30, 2020
Discretionary RAUM · $182M to $24.2M
Jul 3, 2019 to Mar 30, 2020
Non-discretionary RAUM · $0 to $245M
Jul 3, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $182M to $269M
Jul 3, 2019 to Mar 30, 2020
RAUM · $182M to $269M
Jul 3, 2019 to Mar 30, 2020
Other offices · 1 to 0
Mar 26, 2019 to Jul 3, 2019
Advisory employees · 9 to 8
Mar 29, 2018 to Mar 26, 2019
Assets in custody · $169M to $92.3M
Mar 29, 2018 to Mar 26, 2019
Employees · 11 to 9
Mar 29, 2018 to Mar 26, 2019
Discretionary RAUM · $242M to $182M
Mar 29, 2018 to Mar 26, 2019
Pooled vehicle RAUM · $242M to $182M
Mar 29, 2018 to Mar 26, 2019
RAUM · $242M to $182M
Mar 29, 2018 to Mar 26, 2019
Accounts · 4 to 6
Mar 30, 2017 to Mar 29, 2018
Advisory employees · 6 to 9
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 6.0
Mar 30, 2017 to Mar 29, 2018
Assets in custody · $202M to $169M
Mar 30, 2017 to Mar 29, 2018
Employees · 9 to 11
Mar 30, 2017 to Mar 29, 2018
Other offices · unset to 1.0
Mar 30, 2017 to Mar 29, 2018
Private funds · 2 to 3
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $202M to $242M
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 241778155.0
Mar 30, 2017 to Mar 29, 2018
RAUM · $202M to $242M
Mar 30, 2017 to Mar 29, 2018
Assets in custody · $198M to $202M
Jul 26, 2016 to Mar 30, 2017
Employees · 8 to 9
Jul 26, 2016 to Mar 30, 2017
Discretionary RAUM · $198M to $202M
Jul 26, 2016 to Mar 30, 2017
RAUM · $198M to $202M
Jul 26, 2016 to Mar 30, 2017

Signals

2 dated events

L•••• J•••• W••••• (Chief Compliance Officer) appeared on Schedule A of T•••• L••
Jul 3, 2019 · Control person joined · fact
Peter Eric Cressman (Chief Compliance Officer) no longer on Schedule A of T•••• L•• (listed 2019-03-26, absent 2019-07-03)
Jul 3, 2019 · Control person left · inference

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