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••••••• C•••••• A•••••••• L•••••
Latest filing Jun 24, 2026
First filing on the tape Apr 2, 2012 · 24 filings
SEC status approved since Mar 8, 2006
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.6%
$10.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.6B as of Jun 24, 2026
Apr 2, 2012$89.7M then
HNW client RAUM$10.1M as of Jun 24, 2026
Apr 1, 2022$26.2M then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Apr 2, 20120 then
Employees (5.A)9 as of Jun 24, 2026
Apr 2, 20137 then
Private funds2 as of Jun 24, 2026
Apr 2, 20128 then
RAUM +35% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; 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
- $10.1MderivedHNW RAUM over HNW clients
- Average account
- $201MderivedRAUM 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
- +35%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
- $100M, 3 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
- Other investment advisers$1.5B93%
- Pooled investment vehicles$100M6.2%
- High-net-worth individuals$10.1M0.6%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.99 institutional_share=0.0 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• V•••• M••••• F•••• L• | Hedge Fund | $76.6M | 8 | Mar 30, 2016 |
| T••••••• F••• I• L•••••no longer reported | Hedge Fund | $57.5M | 15 | Apr 2, 2012 |
| M•• P•••••••• L••• | Hedge Fund | $43.9M | 4 | Apr 2, 2012 |
| T••••••• M••••• F••• I• L•••no longer reported | Hedge Fund | $1.3M | 25 | Apr 2, 2012 |
| T••••••• F••• I• L••••••no longer reported | Hedge Fund | $711,197 | 5 | Apr 2, 2012 |
| T••••••• Q• M••••• F••• I• L•••no longer reported | Hedge Fund | $102,593 | 2 | Apr 2, 2012 |
| M•• I••••••••• L••••••no longer reported | Hedge Fund | $84,445 | 2 | Apr 2, 2012 |
| T••••••• Q• F••• I• L•••••no longer reported | Hedge Fund | $0 | 1 | Apr 2, 2012 |
| T••••••• Q• F••• I• L••••••no longer reported | Hedge Fund | $0 | 1 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• M•••• A•••••• · Chief Compliance Officercontrolsince 04/2009 · owns less than 5%
- M•••••••• M••••••• J••••• · Chief Executive Officercontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••• V•••• G•• L•• ••••••• A•••••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 8Sep 24, 2025 to Apr 1, 2026
- Assets in custody · $79.1M to $100MSep 24, 2025 to Apr 1, 2026
- Discretionary RAUM · $1.2B to $1.6BSep 24, 2025 to Apr 1, 2026
- HNW RAUM · $5.1M to $10.1MSep 24, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $79.1M to $100MSep 24, 2025 to Apr 1, 2026
- RAUM · $1.2B to $1.6BSep 24, 2025 to Apr 1, 2026
- HQ city · NEW YORK to NORWALKMar 31, 2025 to Sep 24, 2025
- HQ state · NY to CTMar 31, 2025 to Sep 24, 2025
- Accounts · 10 to 7Apr 1, 2024 to Mar 31, 2025
- Charity clients · 2.0 to unsetApr 1, 2024 to Mar 31, 2025
- HNW clients · 3 to 1Apr 1, 2024 to Mar 31, 2025
- Assets in custody · $121M to $79.1MApr 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $842M to $1.2BApr 1, 2024 to Mar 31, 2025
- HNW RAUM · $15.9M to $5.1MApr 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $121M to $79.1MApr 1, 2024 to Mar 31, 2025
- RAUM · $842M to $1.2BApr 1, 2024 to Mar 31, 2025
- Accounts · 9 to 10Jul 7, 2023 to Apr 1, 2024
- Assets in custody · $237M to $121MJul 7, 2023 to Apr 1, 2024
- Discretionary RAUM · $604M to $842MJul 7, 2023 to Apr 1, 2024
- HNW RAUM · $19.6M to $15.9MJul 7, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $237M to $121MJul 7, 2023 to Apr 1, 2024
- RAUM · $604M to $842MJul 7, 2023 to Apr 1, 2024
- Accounts · 8 to 9Oct 12, 2022 to Mar 31, 2023
- Advisory employees · 10 to 9Oct 12, 2022 to Mar 31, 2023
- Assets in custody · $403M to $237MOct 12, 2022 to Mar 31, 2023
- Employees · 10 to 9Oct 12, 2022 to Mar 31, 2023
- Discretionary RAUM · $442M to $604MOct 12, 2022 to Mar 31, 2023
- HNW RAUM · $26.2M to $19.6MOct 12, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $403M to $237MOct 12, 2022 to Mar 31, 2023
- RAUM · $442M to $604MOct 12, 2022 to Mar 31, 2023
- Accounts · 11 to 8Dec 21, 2021 to Apr 1, 2022
- Charity clients · unset to 2.0Dec 21, 2021 to Apr 1, 2022
- HNW clients · unset to 3.0Dec 21, 2021 to Apr 1, 2022
- Individual clients · 5.0 to unsetDec 21, 2021 to Apr 1, 2022
- Pooled vehicle clients · 6 to 3Dec 21, 2021 to Apr 1, 2022
- Assets in custody · $337M to $403MDec 21, 2021 to Apr 1, 2022
- Private funds · 3 to 2Dec 21, 2021 to Apr 1, 2022
- Discretionary RAUM · $359M to $442MDec 21, 2021 to Apr 1, 2022
- HNW RAUM · unset to 26196124.0Dec 21, 2021 to Apr 1, 2022
Signals
5 dated events
- T••••••• C•••••• A•••••••• L••••• reported RAUM $1.6B, up 35% from $1.2B (2025-09-24 to 2026-04-01)Apr 1, 2026 · RAUM change · derived
- T••••••• C•••••• A•••••••• L••••• reported RAUM $1.2B, up 42% from $841.9M (2024-04-01 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- T••••••• C•••••• A•••••••• L••••• reported RAUM $841.9M, up 39% from $604.3M (2023-07-07 to 2024-04-01)Apr 1, 2024 · RAUM change · derived
- T••••••• C•••••• A•••••••• L••••• reported RAUM $604.3M, up 37% from $442.0M (2022-10-12 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- T••••••• C•••••• A•••••••• L••••• reported RAUM $353.7M, up 91% from $185.4M (2017-03-31 to 2018-03-31)Mar 31, 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
- Website
- T•••••••FUNDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-984-2360reportedpublic record, Form ADV, Jun 24, 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
- Asset manager (funds and pooled vehicles)deriveda 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