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

T••••••• A••••••• U• L••

Former SEC-registered adviserLondon, CRD 137489SEC 801-71329IAPD
Latest filing May 13, 2022
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$69.9M
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
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$69.9M gross assets
History
12 filings and snapshots on the tape
RAUM$69.9M as of May 13, 2022
Mar 30, 2012$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 13, 2022
Mar 30, 20120 then
Employees (5.A)3 as of May 13, 2022
Apr 30, 20134 then
Private funds1 as of May 13, 2022
Apr 27, 20182 then
RAUM -6.0% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 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
$69.9MderivedRAUM 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
-6.0%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
otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$69.9M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• T••••••• E••••••• L••••••••• E••••• F•••Hedge Fund$69.9M1Apr 27, 2018
      J•••• O••••••••• F•••no longer reportedHedge Fund$6,0841Apr 10, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• G•••••••• N•• · Directorcontrol
        since 01/2001 · owns less than 5%
      • M••••••• E•••••••• D•••• · Partnercontrol
        since 04/2012 · owns less than 5%
      • T••• C••••••• · Chief Compliance Officercontrol
        since 05/2011 · owns less than 5%
      • G•••• G•••••••• N•• · Ownercontrol
        since 04/2017 · owns 75% or more of T••••••• H••••••• L•• ••••••
      Entity owners
      • T••••••• H••••••• L•• •••••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list T••••••• A••••••• U• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 15, 2021 to May 13, 2022
      • Advisory activities · 2 to 1
        Mar 15, 2021 to May 13, 2022
      • Pooled vehicle clients · 2 to 1
        Mar 15, 2021 to May 13, 2022
      • Private funds · 2 to 1
        Mar 15, 2021 to May 13, 2022
      • Discretionary RAUM · $74.4M to $69.9M
        Mar 15, 2021 to May 13, 2022
      • Pooled vehicle RAUM · $74.4M to $69.9M
        Mar 15, 2021 to May 13, 2022
      • RAUM · $74.4M to $69.9M
        Mar 15, 2021 to May 13, 2022
      • Financial planning clients · unset to 0
        Feb 28, 2020 to Mar 15, 2021
      • Discretionary RAUM · $79.7M to $74.4M
        Feb 28, 2020 to Mar 15, 2021
      • Pooled vehicle RAUM · $79.7M to $74.4M
        Feb 28, 2020 to Mar 15, 2021
      • RAUM · $79.7M to $74.4M
        Feb 28, 2020 to Mar 15, 2021
      • Related adviser · true to false
        Feb 28, 2020 to Mar 15, 2021
      • Discretionary RAUM · $97.8M to $79.7M
        Jan 31, 2019 to Feb 28, 2020
      • Pooled vehicle RAUM · $97.8M to $79.7M
        Jan 31, 2019 to Feb 28, 2020
      • RAUM · $97.8M to $79.7M
        Jan 31, 2019 to Feb 28, 2020
      • Employees · 5 to 3
        Apr 27, 2018 to Jan 31, 2019
      • Discretionary RAUM · $127M to $97.8M
        Apr 27, 2018 to Jan 31, 2019
      • Pooled vehicle RAUM · $127M to $97.8M
        Apr 27, 2018 to Jan 31, 2019
      • RAUM · $127M to $97.8M
        Apr 27, 2018 to Jan 31, 2019
      • Accounts · 4 to 2
        Apr 6, 2017 to Apr 27, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 6, 2017 to Apr 27, 2018
      • Other offices · unset to 0.0
        Apr 6, 2017 to Apr 27, 2018
      • Private funds · unset to 2
        Apr 6, 2017 to Apr 27, 2018
      • Discretionary RAUM · $126M to $127M
        Apr 6, 2017 to Apr 27, 2018
      • Pooled vehicle RAUM · unset to 126815000.0
        Apr 6, 2017 to Apr 27, 2018
      • RAUM · $126M to $127M
        Apr 6, 2017 to Apr 27, 2018
      • Discretionary RAUM · $106M to $126M
        Feb 16, 2016 to Apr 6, 2017
      • RAUM · $106M to $126M
        Feb 16, 2016 to Apr 6, 2017
      • Accounts · 5 to 4
        Apr 1, 2015 to Feb 16, 2016
      • Discretionary RAUM · $147M to $106M
        Apr 1, 2015 to Feb 16, 2016
      • RAUM · $147M to $106M
        Apr 1, 2015 to Feb 16, 2016
      • Accounts · 4 to 5
        Mar 25, 2014 to Apr 1, 2015
      • Employees · 4 to 5
        Mar 25, 2014 to Apr 1, 2015
      • Discretionary RAUM · $189M to $147M
        Mar 25, 2014 to Apr 1, 2015
      • RAUM · $189M to $147M
        Mar 25, 2014 to Apr 1, 2015
      • Discretionary RAUM · $184M to $189M
        Jun 6, 2013 to Mar 25, 2014
      • RAUM · $184M to $189M
        Jun 6, 2013 to Mar 25, 2014
      • Succession · true to false
        Jun 6, 2013 to Mar 25, 2014
      • Business name · T••••••• A•••• M••••••••• L••• to T••••••• A••••••• U• L••
        Apr 30, 2013 to Jun 6, 2013
      • Succession · false to true
        Apr 30, 2013 to Jun 6, 2013
      Signals
      4 dated events
      • Andrea Casati (Partner) no longer on Schedule A of T••••••• A••••••• U• L•• (listed 2021-03-15, absent 2022-05-13)
        May 13, 2022 · Control person left · inference
      • Andrea Casati (Partner) appeared on Schedule A of T••••••• A••••••• U• L••
        Mar 15, 2021 · Control person joined · fact
      • Francesco Masoni (Partner) no longer on Schedule A of T••••••• A••••••• U• L•• (listed 2018-04-27, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      • T••••••• A••••••• U• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 6, 2013 · Succession (Item 4) · fact
      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