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Former SEC-registered adviser

T•••••• C•••••• A••••••• U• L••

Former SEC-registered adviserLondon, CRD 137291SEC 801-65190IAPD
Latest filing Apr 30, 2018
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$8.5B
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
19
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$8.5B as of Apr 30, 2018
Mar 29, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2018
Mar 29, 20120 then
Employees (5.A)19 as of Apr 30, 2018
Apr 30, 201323 then
Private funds: no history
RAUM +1.5% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 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
unknownderivedHNW RAUM over HNW clients
Average account
$423MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.5%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$8.5B, 20 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Pooled investment vehicles$8.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$8.5B for 20 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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• C••••••••• L••• · Chief Investment Officercontrol
        since 01/2013 · owns 10% to 25%
      • K•••••• E••••••••• A•• · Chief Operating Officercontrol
        since 04/2017 · owns less than 5%
      • S• L••••• F••••••• · Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      • T•••••••• J••••• S•••••• · Member And Chief Executive Officercontrol
        since 01/2015 · owns less than 5%
      • Y•••••• A•••••• G•••• · Chief Financial Officercontrol
        since 12/2009 · owns less than 5%
      • B••••••• F••••• P•••• · Member/Managercontrol
        since 01/2007 · owns 75% or more of T•••••• C•••••• P••••••••• P••••••• L••
      • M•••••••• K••••• A•••••••• · Portfolio Manager
        since 01/2013 · owns 10% to 25%
      Entity owners
      • T•••••• C•••••• S••••••• U• L••• · Managing Member
        direct · owns less than 5%
      • T•••••• C•••••• A••••••• L••• · Owner
        indirect · owns 75% or more of T•••••• C•••••• S••••••• U• L•••
      • T•••••• C•••••• P••••••••• P••••••• L•• · General Partner
        indirect · owns F of T•••••• C•••••• A••••••• L•••
      Related persons
      Schedule D 7.A
      • T•••••• A••••••••• L••
        pooled vehicle sponsorn
      • T•••••• C•••••• A••••••• L•
        investment adviserbankyRAUM $4.9B
      • T•••••• C•••••• P••••••• L••
        pooled vehicle sponsorn
      • T•••••• C•••••• P••••••••• P••••••• L••
        y
      • T•••••• C•••••• S••••••• U• L••
        y
      • T•••••• E••• L••
        pooled vehicle sponsorn
      • T•••••• S•••••• G• L••
        pooled vehicle sponsorn
      Advisers that list T•••••• C•••••• A••••••• U• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY84 employees
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 20
        Jun 7, 2017 to Apr 30, 2018
      • Pooled vehicle clients · unset to 20.0
        Jun 7, 2017 to Apr 30, 2018
      • Assets in custody · $8.3B to $8.5B
        Jun 7, 2017 to Apr 30, 2018
      • Other offices · unset to 1.0
        Jun 7, 2017 to Apr 30, 2018
      • Discretionary RAUM · $8.3B to $8.5B
        Jun 7, 2017 to Apr 30, 2018
      • Pooled vehicle RAUM · unset to 8466327178.0
        Jun 7, 2017 to Apr 30, 2018
      • RAUM · $8.3B to $8.5B
        Jun 7, 2017 to Apr 30, 2018
      • Advisory employees · 11 to 10
        Apr 29, 2016 to Apr 28, 2017
      • Assets in custody · $9.6B to $8.3B
        Apr 29, 2016 to Apr 28, 2017
      • Employees · 18 to 19
        Apr 29, 2016 to Apr 28, 2017
      • Discretionary RAUM · $9.6B to $8.3B
        Apr 29, 2016 to Apr 28, 2017
      • RAUM · $9.6B to $8.3B
        Apr 29, 2016 to Apr 28, 2017
      • Accounts · 14 to 17
        Nov 2, 2015 to Apr 29, 2016
      • Assets in custody · $11B to $9.6B
        Nov 2, 2015 to Apr 29, 2016
      • Employees · 24 to 18
        Nov 2, 2015 to Apr 29, 2016
      • Discretionary RAUM · $11B to $9.6B
        Nov 2, 2015 to Apr 29, 2016
      • RAUM · $11B to $9.6B
        Nov 2, 2015 to Apr 29, 2016
      • Accounts · 11 to 14
        Jan 16, 2015 to May 1, 2015
      • Advisory employees · 14 to 11
        Jan 16, 2015 to May 1, 2015
      • Assets in custody · $11B to $11B
        Jan 16, 2015 to May 1, 2015
      • Employees · 25 to 24
        Jan 16, 2015 to May 1, 2015
      • Discretionary RAUM · $11B to $11B
        Jan 16, 2015 to May 1, 2015
      • RAUM · $11B to $11B
        Jan 16, 2015 to May 1, 2015
      • Assets in custody · $11B to $11B
        Apr 30, 2014 to Jun 6, 2014
      • Discretionary RAUM · $11B to $11B
        Apr 30, 2014 to Jun 6, 2014
      • RAUM · $11B to $11B
        Apr 30, 2014 to Jun 6, 2014
      • Accounts · 9 to 11
        Jan 6, 2014 to Apr 30, 2014
      • Advisory employees · 13 to 14
        Jan 6, 2014 to Apr 30, 2014
      • Assets in custody · $12B to $11B
        Jan 6, 2014 to Apr 30, 2014
      • Employees · 23 to 25
        Jan 6, 2014 to Apr 30, 2014
      • Discretionary RAUM · $12B to $11B
        Jan 6, 2014 to Apr 30, 2014
      • RAUM · $12B to $11B
        Jan 6, 2014 to Apr 30, 2014
      • Accounts · 7 to 9
        Apr 30, 2013 to Jul 31, 2013
      • Advisory employees · 12 to 13
        Apr 30, 2013 to Jul 31, 2013
      • Assets in custody · $11B to $12B
        Apr 30, 2013 to Jul 31, 2013
      • Discretionary RAUM · $11B to $12B
        Apr 30, 2013 to Jul 31, 2013
      • RAUM · $11B to $12B
        Apr 30, 2013 to Jul 31, 2013
      • Advisory employees · unset to 12.0
        Aug 30, 2012 to Apr 30, 2013
      • Assets in custody · $13B to $11B
        Aug 30, 2012 to Apr 30, 2013
      • Employees · unset to 23.0
        Aug 30, 2012 to Apr 30, 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