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 adviserNew York, New YorkCRD 139013SEC 801-65694IAPD
Latest filing Oct 21, 2019
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$150M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$108M gross assets
History
21 filings and snapshots on the tape
RAUM$150M as of Mar 27, 2019
Mar 29, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 27, 20130 then
Employees (5.A)2 as of Mar 27, 2019
Mar 27, 201312 then
Private funds2 as of Mar 27, 2019
Mar 29, 20123 then
RAUM -13% over the last fiscal year-3.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 21, 2019; 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
$37.4MderivedRAUM 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
-13%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$150M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• P•••••••• C••••••• L••Hedge Fund$106M4Mar 29, 2012
      T•••••• I••••••••• L•••no longer reportedOther Private Fund$10.0M10Feb 5, 2013
      T••• L•••Hedge Fund$2.0M2Mar 31, 2015
      A•••••• R••••••• P••••••• I••• L••no longer reportedHedge Fund$800,0001Mar 29, 2012
      T•••••• S•••••• S••••••••• C••••••• L••no longer reportedHedge Fund$400,0008Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• J•••••••• D•••• · Managing Member And Chief Compliance Officercontrol
        since 07/2001 · owns 75% or more
      Related persons
      Schedule D 7.A
      • T•••••• C•••••• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · unset to NEW YORK
        Mar 27, 2019 to Oct 21, 2019
      • HQ state · unset to NY
        Mar 27, 2019 to Oct 21, 2019
      • Accounts · 5 to 4
        Jul 27, 2018 to Mar 27, 2019
      • Pooled vehicle clients · 5 to 4
        Jul 27, 2018 to Mar 27, 2019
      • Assets in custody · 31493441.0 to unset
        Jul 27, 2018 to Mar 27, 2019
      • Custody of client assets · true to false
        Jul 27, 2018 to Mar 27, 2019
      • Discretionary RAUM · $171M to $150M
        Jul 27, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $171M to $150M
        Jul 27, 2018 to Mar 27, 2019
      • RAUM · $171M to $150M
        Jul 27, 2018 to Mar 27, 2019
      • HQ city · RYE BROOK to unset
        May 24, 2018 to Jul 27, 2018
      • HQ state · NY to unset
        May 24, 2018 to Jul 27, 2018
      • Pooled vehicle clients · unset to 5.0
        May 2, 2017 to Mar 23, 2018
      • Assets in custody · $16.2M to $31.5M
        May 2, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        May 2, 2017 to Mar 23, 2018
      • Discretionary RAUM · $159M to $171M
        May 2, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 171253501.0
        May 2, 2017 to Mar 23, 2018
      • RAUM · $159M to $171M
        May 2, 2017 to Mar 23, 2018
      • Assets in custody · $17.0M to $16.2M
        Dec 13, 2016 to Mar 10, 2017
      • Discretionary RAUM · $167M to $159M
        Dec 13, 2016 to Mar 10, 2017
      • RAUM · $167M to $159M
        Dec 13, 2016 to Mar 10, 2017
      • Advisory employees · 6 to 2
        Aug 14, 2015 to Mar 25, 2016
      • Assets in custody · $296M to $17.0M
        Aug 14, 2015 to Mar 25, 2016
      • Employees · 8 to 2
        Aug 14, 2015 to Mar 25, 2016
      • HQ city · GREENWICH to RYE BROOK
        Aug 14, 2015 to Mar 25, 2016
      • HQ state · CT to NY
        Aug 14, 2015 to Mar 25, 2016
      • Discretionary RAUM · $296M to $167M
        Aug 14, 2015 to Mar 25, 2016
      • RAUM · $296M to $167M
        Aug 14, 2015 to Mar 25, 2016
      • Accounts · 4 to 5
        Jul 7, 2014 to Mar 31, 2015
      • Advisory employees · 7 to 6
        Jul 7, 2014 to Mar 31, 2015
      • Business name · T••••••••• L•• to T•••••• C•••••• M••••••••• L••
        Jul 7, 2014 to Mar 31, 2015
      • Assets in custody · $378M to $296M
        Jul 7, 2014 to Mar 31, 2015
      • Legal name · T••••••••• L•• to T•••••• C•••••• M••••••••• L••
        Jul 7, 2014 to Mar 31, 2015
      • Private funds · 1 to 2
        Jul 7, 2014 to Mar 31, 2015
      • Discretionary RAUM · $378M to $296M
        Jul 7, 2014 to Mar 31, 2015
      • RAUM · $378M to $296M
        Jul 7, 2014 to Mar 31, 2015
      • Advisory employees · 8 to 7
        Apr 28, 2014 to Jul 7, 2014
      • Assets in custody · $585M to $378M
        Apr 28, 2014 to Jul 7, 2014
      • Employees · 12 to 8
        Apr 28, 2014 to Jul 7, 2014
      • Discretionary RAUM · $585M to $378M
        Apr 28, 2014 to Jul 7, 2014
      • RAUM · $585M to $378M
        Apr 28, 2014 to Jul 7, 2014
      Signals
      1 dated events
      • David Barry Kupferberg (Chief Compliance Officer, Chief Operating Officer And Director Of Research) no longer on Schedule A of T•••••• C•••••• M••••••••• L•• (listed 2019-03-27, absent 2019-10-21)
        Oct 21, 2019 · Control person left · inference
      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