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••••••• C•••••• M••••••••• L•

Former SEC-registered adviserBoca Raton, FloridaCRD 138187SEC 801-73943IAPD
Latest filing Sep 29, 2020
First filing on the tape Feb 14, 2012 · 15 filings
RAUM
$52.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$52.1M gross assets
History
15 filings and snapshots on the tape
RAUM$40.0M as of Mar 30, 2020
Mar 28, 2013$979M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)2 as of Mar 30, 2020
Mar 28, 20137 then
Private funds3 as of Mar 30, 2020
Mar 28, 20136 then
RAUM -76% over the last fiscal year-49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 29, 2020; 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
$5.8MderivedRAUM 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
-81%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
Custody
$52.1M, 9 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)
  • 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$52.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$52.1M for 9 clientsreported
Compensation
n/areported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••• G••••• R•••••••• H•••••••• L••no longer reportedPrivate Equity Fund$260M170Feb 14, 2012
      T••••••• G••••• R•••••••• H•••••••• L••no longer reportedPrivate Equity Fund$55.8M64Feb 14, 2012
      T••••••• P•••••• E••••• M••••• F••• L••Private Equity Fund$51.4M94Mar 28, 2013
      T••••••• M••••• A•••••••• M••••• F•••• L•••no longer reportedHedge Fund$34.2M41Mar 28, 2013
      T••••••• D••••••••• H•••••••• L••no longer reportedPrivate Equity Fund$28.9M60Feb 14, 2012
      T••••••• D••••••• H•••••••• L••no longer reportedPrivate Equity Fund$8.7M20Feb 14, 2012
      T••••••• D••••••••• H•••••••• L••no longer reportedPrivate Equity Fund$5.7M18Feb 14, 2012
      T••••••• G••••• R•••••••• M••••• F•••• L••Hedge Fund$489,0000Feb 14, 2012
      T••••••• I•••• P••• I• L•Hedge Fund$228,0000Feb 14, 2012
      T••••••• D••••••• H••••••• L••no longer reportedPrivate Equity Fund$114,0001Feb 14, 2012
      T••••••• D••••••••• M••••• F•••• L••no longer reportedHedge Fund$02Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••••• P••• · Cio / Ccocontrol
        since 02/2005 · owns 75% or more
      • T•••••••• P••• · Membercontrol
        since 02/2005 · owns 75% or more of T••••••• C•••••• G•• L••
      Entity owners
      • T••••••• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••••••• C•••••• G•• L••
        pooled vehicle sponsory
      • T••••••• C•••••• P•••••••• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 9 to 4
        Mar 30, 2020 to Sep 29, 2020
      • Assets in custody · $51.3M to $52.1M
        Mar 30, 2020 to Sep 29, 2020
      • Employees · 2 to 1
        Mar 30, 2020 to Sep 29, 2020
      • Discretionary RAUM · $40.0M to $52.1M
        Mar 30, 2020 to Sep 29, 2020
      • Pooled vehicle RAUM · $40.0M to $52.1M
        Mar 30, 2020 to Sep 29, 2020
      • RAUM · $40.0M to $52.1M
        Mar 30, 2020 to Sep 29, 2020
      • Assets in custody · $215M to $51.3M
        Mar 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $215M to $40.0M
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $215M to $40.0M
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $215M to $40.0M
        Mar 27, 2019 to Mar 30, 2020
      • Accounts · 13 to 9
        Jul 3, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 13 to 9
        Jul 3, 2018 to Mar 27, 2019
      • Assets in custody · $146M to $215M
        Jul 3, 2018 to Mar 27, 2019
      • Private funds · 4 to 3
        Jul 3, 2018 to Mar 27, 2019
      • Discretionary RAUM · $154M to $215M
        Jul 3, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $154M to $215M
        Jul 3, 2018 to Mar 27, 2019
      • RAUM · $154M to $215M
        Jul 3, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 13.0
        Apr 19, 2017 to Mar 27, 2018
      • Assets in custody · $401M to $146M
        Apr 19, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Apr 19, 2017 to Mar 27, 2018
      • Discretionary RAUM · $401M to $154M
        Apr 19, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 153641000.0
        Apr 19, 2017 to Mar 27, 2018
      • RAUM · $401M to $154M
        Apr 19, 2017 to Mar 27, 2018
      • Assets in custody · $530M to $401M
        Apr 11, 2016 to Mar 27, 2017
      • Discretionary RAUM · $530M to $401M
        Apr 11, 2016 to Mar 27, 2017
      • RAUM · $530M to $401M
        Apr 11, 2016 to Mar 27, 2017
      • Assets in custody · $568M to $530M
        Apr 9, 2015 to Mar 25, 2016
      • Discretionary RAUM · $691M to $530M
        Apr 9, 2015 to Mar 25, 2016
      • RAUM · $691M to $530M
        Apr 9, 2015 to Mar 25, 2016
      • Accounts · 16 to 13
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 1
        Mar 28, 2014 to Mar 30, 2015
      • Assets in custody · unset to 568000000.0
        Mar 28, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 4 to 2
        Mar 28, 2014 to Mar 30, 2015
      • Private funds · 5 to 4
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $554M to $691M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $554M to $691M
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 7 to 4
        Mar 28, 2013 to Mar 28, 2014
      • HQ city · NEW YORK to BOCA RATON
        Mar 28, 2013 to Mar 28, 2014
      • HQ state · NY to FL
        Mar 28, 2013 to Mar 28, 2014
      Signals
      3 dated events
      • David Paul Braica (Chief Compliance Officer) no longer on Schedule A of T••••••• C•••••• M••••••••• L• (listed 2020-03-30, absent 2020-09-29)
        Sep 29, 2020 · Control person left · inference
      • T••••••• C•••••• M••••••••• L• reported RAUM $40.0M, down 81% from $215.0M (2019-03-27 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • T••••••• C•••••• M••••••••• L• reported RAUM $153.6M, down 62% from $401.5M (2017-04-19 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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