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••••• H••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 140014SEC 801-107175IAPD
Latest filing Mar 30, 2016
First filing on the tape Jan 13, 2016 · 4 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Feb 10, 2016
Jan 13, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Jan 13, 20163 then
Employees (5.A)6 as of Mar 30, 2016
Jan 13, 20166 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourlyreportedItem 5.E
Advisory activities
portfolio management for investment companies, educational seminars, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E••••••• L••••• E••• · Vice Chairmancontrol
    since 02/2006 · owns less than 5%
  • S••••••••• H•••••• R••••• · Cco, General Counselcontrol
    since 03/2016 · owns less than 5%
  • T•••••• D•••• L••••• · Ceo/Chief Research Officercontrol
    since 02/2006 · owns less than 5%
  • T•••••• D•••• L••••• · Membercontrol
    since 01/2006 · owns 75% or more of G••••••••• L••
  • C•••• T••••• K•• · Senior Managing Director
    since 03/2008 · owns less than 5%
  • E••••••• S•••• · Cfo, Coo
    since 01/2008 · owns less than 5%
Entity owners
  • G••• S••••••• · Owner
    direct · owns 75% or more
  • G••••••••• L•• · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0.0 to unset
    Feb 10, 2016 to Mar 30, 2016
  • Discretionary RAUM · 0.0 to unset
    Feb 10, 2016 to Mar 30, 2016
  • Non-discretionary RAUM · 0.0 to unset
    Feb 10, 2016 to Mar 30, 2016
  • RAUM · 0.0 to unset
    Feb 10, 2016 to Mar 30, 2016
Signals
1 dated events
  • T••••• H••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 13, 2016 · First SEC registration · 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