DFX Intelligence

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T••••• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $26.1M of regulatory assets.

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

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $26.1M
Advisors: 0
RAUM change, 1 year: -24%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

2 changes
ownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
-24.0%
RAUM, one year
RAUM $34.3M to $26.1M (-24.0%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 137140 · SEC 801-65566 · 16 filingsShow

CRD 137140SEC 801-65566First filing on the tape Mar 28, 2012, latest Mar 31, 2026SEC status approved since Jan 26, 2006IAPD

RAUM

$26.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM -20% a year over three years · the tape starts Mar 28, 2012

Peer group: Asset managers, under $100M, 329 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$26.1M as of Mar 31, 2026

Mar 28, 2012$4.5B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 12, 20150 then

Employees (5.A)1 as of Mar 31, 2026

Mar 12, 20153 then

Private funds1 as of Feb 18, 2025

Mar 12, 20151 then

RAUM -24% over the last fiscal year-20% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $8.7MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: -24%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow

Pooled investment vehicles$26.1M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
I•• S•••••••• C••••• I••••• M••••• F••• L••••••	Hedge Fund	$0	3	Mar 12, 2015

Owners and control persons

Schedule A and B, latest filing

M••••• M•••••• · Chief Compliance Officercontrol
since 01/2021 · owns less than 5%
C•••••••• N••••••• · Membercontrol
since 01/2015 · owns 25% to 50% of T••••• H•••••• L••
G•••• V••••• · Membercontrol
since 01/2015 · owns 50% to 75% of T••••• H•••••• L••

Entity owners

T••••• H•••••• L•• · Principal Owner
direct · owns 75% or more

Ownership changes

9 Schedule A changes between consecutive filings, latest first

Added M•••••• M•••• · Chief Compliance Officer control
filing of Mar 31, 2021, against Mar 30, 2020 · owns under 5%
Removed R•••• T•••• · President, Chief Financial Officer and Chief Operating Officer control
filing of May 4, 2016, against Mar 30, 2016 · owns under 5%
Added N••••••• C••••••• · Chief Compliance Officer
filing of Mar 12, 2015, against Mar 28, 2012 · owns under 5%
Added V••••• G••• · Member control
filing of Mar 12, 2015, against Mar 28, 2012 · owns 50 to 75%
Added R•••• T•••• · Chief Financial Officer
filing of Mar 12, 2015, against Mar 28, 2012 · owns under 5%

All 9 changes

Added T••••• H•••••• L•• · Principal Owner control
filing of Mar 12, 2015, against Mar 28, 2012 · owns 75% or more · entity
Removed F••••••• L•• · Majority Owner control
filing of Mar 12, 2015, against Mar 28, 2012 · owns 75% or more · entity
Removed I••••••••• C••••• P•••••••• L•• · P••••• C•••••• o• I•• A•••• M••••••••• L•• control
filing of Mar 12, 2015, against Mar 28, 2012 · owns 75% or more · entity
Removed T••••• P••••• C•••••• · Chief Executive Officer & Chief Compliance Officer control
filing of Mar 12, 2015, against Mar 28, 2012 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

I•• S•••••••• C••••• I••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $27.3M to $26.1M
Jul 18, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $27.3M to $26.1M
Jul 18, 2025 to Mar 31, 2026
RAUM · $27.3M to $26.1M
Jul 18, 2025 to Mar 31, 2026
Financial planning clients · 0 to 0
Feb 18, 2025 to Jul 18, 2025
Private funds · 1 to unset
Feb 18, 2025 to Jul 18, 2025

Full history · 56 changes

Discretionary RAUM · $34.3M to $27.3M
Feb 18, 2025 to Jul 18, 2025
Pooled vehicle RAUM · $34.3M to $27.3M
Feb 18, 2025 to Jul 18, 2025
RAUM · $34.3M to $27.3M
Feb 18, 2025 to Jul 18, 2025
Discretionary RAUM · $45.3M to $34.3M
Mar 21, 2024 to Feb 18, 2025
Pooled vehicle RAUM · $45.3M to $34.3M
Mar 21, 2024 to Feb 18, 2025
RAUM · $45.3M to $34.3M
Mar 21, 2024 to Feb 18, 2025
Discretionary RAUM · $51.3M to $45.3M
Mar 22, 2023 to Mar 21, 2024
Pooled vehicle RAUM · $51.3M to $45.3M
Mar 22, 2023 to Mar 21, 2024
RAUM · $51.3M to $45.3M
Mar 22, 2023 to Mar 21, 2024
Pooled vehicle clients · unset to 3.0
Mar 28, 2022 to Mar 22, 2023
Employees · 3 to 1
Mar 28, 2022 to Mar 22, 2023
Discretionary RAUM · $56.1M to $51.3M
Mar 28, 2022 to Mar 22, 2023
Pooled vehicle RAUM · unset to 51340099.0
Mar 28, 2022 to Mar 22, 2023
RAUM · $56.1M to $51.3M
Mar 28, 2022 to Mar 22, 2023
Discretionary RAUM · $96.9M to $56.1M
Mar 31, 2021 to Mar 28, 2022
RAUM · $96.9M to $56.1M
Mar 31, 2021 to Mar 28, 2022
Discretionary RAUM · $430M to $96.9M
Mar 30, 2020 to Mar 31, 2021
RAUM · $430M to $96.9M
Mar 30, 2020 to Mar 31, 2021
Discretionary RAUM · $959M to $430M
Mar 29, 2019 to Mar 30, 2020
RAUM · $959M to $430M
Mar 29, 2019 to Mar 30, 2020
Accounts · 5 to 3
Mar 30, 2018 to Mar 29, 2019
Accounts · 3 to 5
Mar 31, 2017 to Mar 30, 2018
Advisory activities · 2 to 1
Mar 31, 2017 to Mar 30, 2018
Assets in custody · 2373800000.0 to unset
Mar 31, 2017 to Mar 30, 2018
Custody of client assets · true to false
Mar 31, 2017 to Mar 30, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $1.6B to $959M
Mar 31, 2017 to Mar 30, 2018
RAUM · $1.6B to $959M
Mar 31, 2017 to Mar 30, 2018
Discretionary RAUM · $2.4B to $1.6B
May 4, 2016 to Mar 31, 2017
RAUM · $2.4B to $1.6B
May 4, 2016 to Mar 31, 2017
Accounts · 5 to 3
May 7, 2015 to Mar 30, 2016
Business name · I•• A•••• M••••••••• L•• to T••••• A•••• M••••••••• L••
May 7, 2015 to Mar 30, 2016
Assets in custody · $2.7B to $2.4B
May 7, 2015 to Mar 30, 2016
Legal name · I•• A•••• M••••••••• L•• to T••••• A•••• M••••••••• L••
May 7, 2015 to Mar 30, 2016
Discretionary RAUM · $2.8B to $2.4B
May 7, 2015 to Mar 30, 2016
RAUM · $2.8B to $2.4B
May 7, 2015 to Mar 30, 2016
Assets in custody · $2.8B to $2.7B
Mar 12, 2015 to May 7, 2015
Discretionary RAUM · $2.9B to $2.8B
Mar 12, 2015 to May 7, 2015
RAUM · $2.9B to $2.8B
Mar 12, 2015 to May 7, 2015
Accounts · 3 to 5
Mar 28, 2012 to Mar 12, 2015
Advisory employees · unset to 1.0
Mar 28, 2012 to Mar 12, 2015
Advisory activities · 1 to 2
Mar 28, 2012 to Mar 12, 2015
BD registered reps · unset to 0.0
Mar 28, 2012 to Mar 12, 2015
Assets in custody · unset to 2845000000.0
Mar 28, 2012 to Mar 12, 2015
Custody of client assets · false to true
Mar 28, 2012 to Mar 12, 2015
Employees · unset to 3.0
Mar 28, 2012 to Mar 12, 2015
State-registered IARs · unset to 0.0
Mar 28, 2012 to Mar 12, 2015
Private funds · unset to 1
Mar 28, 2012 to Mar 12, 2015
Discretionary RAUM · $4.5B to $2.9B
Mar 28, 2012 to Mar 12, 2015
RAUM · $4.5B to $2.9B
Mar 28, 2012 to Mar 12, 2015
Related broker-dealer · true to false
Mar 28, 2012 to Mar 12, 2015

Signals

8 dated events

••• Locked
Mar 31, 2026 · Control person joined · fact
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · ria principal change · derived
••• Locked
Mar 31, 2026 · Control person left · inference
••• Locked
Mar 31, 2021 · RAUM change · derived

Full timeline · 8 events

••• Locked
Mar 31, 2021 · Control person joined · fact
••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Mar 30, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

T••••• A•••• M••••••••• L•• is the same institution as 1 record in Private Credit.

Private Credit1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: net advisor flow, 12 months.