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•• T••••• G•••• A••••••• L••
Latest filing Mar 29, 2024
First filing on the tape Mar 28, 2012 · 18 filings
SEC status approved since Oct 31, 2006
RAUM
$34.0M
reported, Item 5.F
Discretionary
0.0%
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
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$34.0M gross assets
History
18 filings and snapshots on the tape
RAUM$34.0M as of Mar 29, 2024
Mar 28, 2012$511M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 28, 20120 then
Employees (5.A)4 as of Mar 29, 2024
Mar 27, 201321 then
Private funds1 as of Mar 29, 2024
Mar 29, 20181 then
RAUM -79% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
- $34.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -79%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 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
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$34.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• S••• P•••••• F••• I• L• | Other Private Fund | $118M | 27 | Mar 30, 2022 |
| M•• P•••••• E••••• F•••• L••• | Private Equity Fund | $34.0M | 92 | Mar 28, 2012 |
| T••• C•• M•• L•no longer reported | Other Private Fund | $13.4M | 3 | Mar 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••• M•••••• · Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- H••••••••• W•••••• E• · Managing Directorcontrolsince 10/2009 · owns less than 5%
- S•••••••• S••••• J••••• · Chief Financial Officercontrolsince 11/2013 · owns less than 5%
- T•••••• M••••••• T••••••• · Managercontrolsince 06/2006 · owns less than 5%
- T•••••• M••••••• T••••••• · 100% Shareholdercontrolsince 09/2006 · owns 75% or more of T•• I••••••••• A•••••••• I•••
- T•••••• N••••• M•••• · Membersince 06/2006 · owns less than 5%
Entity owners
- T•• I••••••••• A•••••••• I••• · N/Adirect · owns 75% or more
Related persons
Schedule D 7.A
- P•• E••••••••• L••investment adviserpooled vehicle sponsornRAUM $2.3B
Advisers that list T•• T••••• G•••• A••••••• L•• as a related person
- 165075 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 0 to 1Aug 18, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $36.9M to $34.0MAug 18, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $36.9M to $34.0MAug 18, 2023 to Mar 29, 2024
- RAUM · $36.9M to $34.0MAug 18, 2023 to Mar 29, 2024
- Accounts · 3 to 1Mar 31, 2023 to Aug 18, 2023
- Advisory employees · 9 to 2Mar 31, 2023 to Aug 18, 2023
- Pooled vehicle clients · 3 to 1Mar 31, 2023 to Aug 18, 2023
- Employees · 13 to 4Mar 31, 2023 to Aug 18, 2023
- Other offices · 1 to 0Mar 31, 2023 to Aug 18, 2023
- Private funds · 2 to 1Mar 31, 2023 to Aug 18, 2023
- Discretionary RAUM · $118M to $0Mar 31, 2023 to Aug 18, 2023
- Non-discretionary RAUM · $41.1M to $36.9MMar 31, 2023 to Aug 18, 2023
- Pooled vehicle RAUM · $159M to $36.9MMar 31, 2023 to Aug 18, 2023
- RAUM · $159M to $36.9MMar 31, 2023 to Aug 18, 2023
- Advisory employees · 10 to 9May 2, 2022 to Mar 31, 2023
- Employees · 15 to 13May 2, 2022 to Mar 31, 2023
- Other offices · 2 to 1May 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $91.0M to $118MMay 2, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $69.7M to $41.1MMay 2, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $161M to $159MMay 2, 2022 to Mar 31, 2023
- RAUM · $161M to $159MMay 2, 2022 to Mar 31, 2023
- Accounts · 2 to 3Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 2 to 3Mar 30, 2021 to Mar 30, 2022
- Employees · 17 to 15Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $13.4M to $91.0MMar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $70.6M to $69.7MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $84.0M to $161MMar 30, 2021 to Mar 30, 2022
- RAUM · $84.0M to $161MMar 30, 2021 to Mar 30, 2022
- Accounts · 3 to 2Mar 30, 2020 to Mar 30, 2021
- Advisory activities · 2 to 1Mar 30, 2020 to Mar 30, 2021
- BD registered reps · 4 to 0Mar 30, 2020 to Mar 30, 2021
- Private funds · 1 to 2Mar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $484M to $13.4MMar 30, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $0 to $70.6MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $111M to $84.0MMar 30, 2020 to Mar 30, 2021
- RAUM · $484M to $84.0MMar 30, 2020 to Mar 30, 2021
- Advisory employees · 13 to 10Mar 29, 2019 to Mar 30, 2020
- Employees · 21 to 17Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $477M to $484MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $113M to $111MMar 29, 2019 to Mar 30, 2020
Signals
4 dated events
- T•• T••••• G•••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $34.0M)May 2, 2025 · Left the SEC roster · derived
- T•• T••••• G•••• A••••••• L•• reported RAUM $36.9M, down 77% from $159.1M (2023-03-31 to 2023-08-18)Aug 18, 2023 · RAUM change · derived
- Lauren Jaclyn Rothchild (Vice President) no longer on Schedule A of T•• T••••• G•••• A••••••• L•• (listed 2022-05-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- T•• T••••• G•••• A••••••• L•• reported RAUM $84.0M, down 83% from $483.7M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T•• T••••• G•••• A••••••• L•• · Private Equityshared crd · organization
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