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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SEC-registered adviser
T•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 41 filings
SEC status approved since Jan 27, 2006
RAUM
$2.3B
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
13
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.3B as of Mar 31, 2026
Mar 30, 2012$3.6B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)13 as of Mar 31, 2026
Mar 28, 201339 then
Private funds4 as of Mar 31, 2026
Mar 30, 20125 then
RAUM +15% over the last fiscal year+36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $116MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 78%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
- +15%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- Insurance companies$1.8B78%
- Pooled investment vehicles$513M22%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.22 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• C••••• S••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.7B | 107 | Mar 30, 2012 |
| S••••••••• C••••• O••••••••• F••• I•• L•••no longer reported | Hedge Fund | $510M | 2 | Mar 30, 2012 |
| C•••••••• L••••••••• C••••• M••••• F•••• L••• | Hedge Fund | $445M | 3 | Feb 23, 2021 |
| T••••••• C•••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $334M | 33 | Sep 11, 2014 |
| C••••• P••• R••••••••• P••••••• M••••• F••• L• | Hedge Fund | $89.8M | 3 | May 13, 2020 |
| C•••••••• L••••••••• C••••• F•••• L••• | Hedge Fund | $85.1M | 39 | Feb 23, 2021 |
| T••••••• S••••• F••••••••• F•••• L•••no longer reported | Hedge Fund | $84.3M | 11 | Sep 11, 2014 |
| C•••••••• L••••••••• C••••• F•••• L••• | Hedge Fund | $78.7M | 28 | Feb 23, 2021 |
| T•• F••••••••• F•••• L•••no longer reported | Hedge Fund | $53.9M | 7 | Mar 28, 2014 |
| 1••• T••••••• F•••• L•••no longer reported | Hedge Fund | $53.7M | 3 | Mar 30, 2015 |
| T••••••••• C•••••••• C••••• M••••• F••• L•••no longer reported | Hedge Fund | $49.0M | 9 | Feb 7, 2013 |
| T••••••• D••••••••• A•• S•••••• S••••••••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $25.9M | 29 | Mar 30, 2012 |
| A•••••••• C• L•• | Hedge Fund | $17.0M | 3 | Mar 31, 2023 |
| S•• F••••••••• R••••••• F•••• L•••no longer reported | Private Equity Fund | $4.9M | 3 | Mar 30, 2012 |
| T••••••• D••••••••• A•• S•••••• S••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.5M | 30 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• G••• · Principalcontrolsince 03/2005 · owns less than 5%
- B••••• M•••• S•••••• · Chief Investment Officercontrolsince 04/2020 · owns less than 5%
- F••••••• G••••••• S••••• · Chief Financial Officercontrolsince 07/2020 · owns less than 5%
- K•••• S•••• K•• · Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- P•••••• B•••••• S••••• · Presidentcontrolsince 04/2021 · owns less than 5%
Entity owners
- T•••••• A••••••• H•••••••• L••• · Sole Member And Managing Memberdirect · owns 75% or more
- T•••••• A•••• M••••••••• C••••••• L•• · Managing Member Of T•••••• H••••••• G•• L••indirect · owns 25% to 50% of T•••••• H••••••• G•• L••
- T•••••• H••••••• G•• L•• · G•••Ral Partner Of T•••••• A••••••• H•••••••• L•••indirect · owns F of T•••••• A••••••• H•••••••• L•••
- T•••••• H••••••• L•• · Sole Member Of T•••••• A•••• M••••••••• C••••••• L••indirect · owns 75% or more of T•••••• A•••• M••••••••• C••••••• L••
- T•••••• I••• · Sole Member Of T•••••• H••••••• L••indirect · owns 75% or more of T•••••• H••••••• L•• · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 12 to 13Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $2.3BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $552M to $513MMar 28, 2025 to Mar 31, 2026
- RAUM · $2.0B to $2.3BMar 28, 2025 to Mar 31, 2026
- Accounts · 19 to 20Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 15 to 12Mar 29, 2024 to Mar 28, 2025
- Business name · C••••• P••• C•••••• M••••••••• L•• to T•••••• A•••••••• L••Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Employees · 16 to 13Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Legal name · C••••• P••• C•••••• M••••••••• L•• to T•••••• A•••••••• L••Mar 29, 2024 to Mar 28, 2025
- Private funds · 5 to 4Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $2.0BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $553M to $552MMar 29, 2024 to Mar 28, 2025
- RAUM · $1.6B to $2.0BMar 29, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 29, 2024 to Mar 28, 2025
- Accounts · 15 to 19Apr 7, 2023 to Mar 29, 2024
- Advisory employees · 4 to 15Apr 7, 2023 to Mar 29, 2024
- Pooled vehicle clients · 2 to 4Apr 7, 2023 to Mar 29, 2024
- Employees · 5 to 16Apr 7, 2023 to Mar 29, 2024
- Private funds · 2 to 5Apr 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $929M to $1.6BApr 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $107M to $553MApr 7, 2023 to Mar 29, 2024
- RAUM · $929M to $1.6BApr 7, 2023 to Mar 29, 2024
- Accounts · 13 to 15Dec 12, 2022 to Mar 31, 2023
- Advisory employees · 5 to 4Dec 12, 2022 to Mar 31, 2023
- Assets in custody · $83.2M to $0Dec 12, 2022 to Mar 31, 2023
- Private funds · 1 to 2Dec 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $716M to $929MDec 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $83.2M to $107MDec 12, 2022 to Mar 31, 2023
- RAUM · $716M to $929MDec 12, 2022 to Mar 31, 2023
- Accounts · 2 to 13Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 6 to 5Mar 30, 2021 to Mar 30, 2022
- Advisory activities · 1 to 2Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $129M to $83.2MMar 30, 2021 to Mar 30, 2022
- Employees · 6 to 5Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $129M to $716MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $129M to $83.2MMar 30, 2021 to Mar 30, 2022
- RAUM · $129M to $716MMar 30, 2021 to Mar 30, 2022
Signals
14 dated events
- T•••••• A•••••••• L•• reported RAUM $2.0B, up 27% from $1.6B (2024-03-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- T•••••• A•••••••• L•• reported RAUM $1.6B, up 71% from $928.7M (2023-04-07 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- T•••••• A•••••••• L•• reported RAUM $928.7M, up 30% from $716.1M (2022-12-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Stuart Brooke Parish (President) appeared on Schedule A of T•••••• A•••••••• L••Mar 30, 2022 · Control person joined · fact
- T•••••• A•••••••• L•• reported RAUM $716.1M, up 457% from $128.6M (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Steven Gregory Fabiano (Chief Financial Officer) appeared on Schedule A of T•••••• A•••••••• L••Jul 27, 2020 · Control person joined · fact
- T•••••• A•••••••• L•• reported RAUM $205.9M, down 76% from $859.8M (2019-04-29 to 2020-05-13)May 13, 2020 · RAUM change · derived
- Steven Mark Black (Chief Investment Officer) appeared on Schedule A of T•••••• A•••••••• L••May 13, 2020 · Control person joined · fact
- N/M/N Arif Inayatullah (Principal) no longer on Schedule A of T•••••• A•••••••• L•• (listed 2019-04-24, absent 2019-04-29)Apr 29, 2019 · Control person left · inference
- T•••••• A•••••••• L•• reported RAUM $859.8M, down 71% from $3.0B (2019-02-22 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- Ernest James Mckee (General Counsel And Chief Compliance Officer) no longer on Schedule A of T•••••• A•••••••• L•• (listed 2019-01-14, absent 2019-02-22)Feb 22, 2019 · Control person left · inference
- Kai Siew Kwok (Chief Compliance Officer) appeared on Schedule A of T•••••• A•••••••• L••Feb 22, 2019 · Control person joined · fact
- Keith Andrew Schinder (Chief Compliance Officer) no longer on Schedule A of T•••••• A•••••••• L•• (listed 2018-06-11, absent 2019-01-14)Jan 14, 2019 · Control person left · inference
- Seth Ian Cohen (Chief Financial Officer) no longer on Schedule A of T•••••• A•••••••• L•• (listed 2018-06-11, absent 2019-01-14)Jan 14, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C••••• P••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/tiptree-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-887-4400reportedpublic record, Form ADV, Mar 31, 2026
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
- Institutional managerderiveda 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