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••••••••• V•••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 142117SEC 801-67722IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 5, 2012 · 13 filings
RAUM
$80.0M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$80.0M as of Mar 30, 2016
Mar 5, 2012$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 5, 20120 then
Employees (5.A)4 as of Mar 30, 2016
Jan 30, 20138 then
Private funds: no history
RAUM -97% over the last fiscal year-40% a year over threeIARs 0 to 0
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
$26.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• A•••• · Chief Executive Officercontrol
        since 09/2004 · owns less than 5%
      • C••••• S••• · Chief Compliance Officercontrol
        since 04/2014 · owns less than 5%
      • K•••••••• G••••••• · Senior Managing Directorcontrol
        since 11/2015 · owns less than 5%
      Entity owners
      • T••••••••• V••••• L•• · Owner
        direct · owns 75% or more
      • C••••••••• I••••••••• S•••••••• I••• · Shareholder
        indirect · owns 75% or more of S•••••• E••••• A•••••••• I•••
      • G• H•••••• L•• · Member
        indirect · owns 75% or more of G••• H•••••• L••
      • G••• H•••••• L•• · Member
        indirect · owns 50% to 75% of G••••••••• T••••••••• V••••• L••
      • G•••••••• T•••• C••••••• T•••••• · T••••••
        indirect · owns F of S•••••• E••••••••• I••• E•••
      • G••••••••• C••••••• L•• · Member
        indirect · owns 75% or more of G••••••••• P•••••••• L••
      • G••••••••• P•••••••• L•• · Member
        indirect · owns 75% or more of G• H•••••• L••
      • G••••••••• T••••••••• V••••• L•• · Member
        indirect · owns 75% or more of T••••••••• V••••• L••
      • S••• A•••••• I•• · Member
        indirect · owns 25% to 50% of G••••••••• C••••••• L••
      • S•••••• E••••••••• I••• · Shareholder
        indirect · owns 75% or more of C••••••••• I••••••••• S•••••••• I•••
      • S•••••• E••••••••• I••• E••• · Shareholder
        indirect · owns 75% or more of S•••••• E••••••••• I•••
      • S•••••• E••••• A•••••••• I••• · Member
        indirect · owns 75% or more of S••• A•••••• I••.
      Related persons
      Schedule D 7.A
      Advisers that list T••••••••• V•••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 15 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 1
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 9 to 4
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $453M to $0
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.9B to $80.0M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $2.4B to $80.0M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 24 to 15
        May 15, 2014 to Mar 31, 2015
      • Discretionary RAUM · $474M to $453M
        May 15, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $1.4B to $1.9B
        May 15, 2014 to Mar 31, 2015
      • RAUM · $1.9B to $2.4B
        May 15, 2014 to Mar 31, 2015
      • Accounts · 19 to 24
        Feb 18, 2014 to Apr 7, 2014
      • Advisory employees · 6 to 5
        Feb 18, 2014 to Apr 7, 2014
      • Advisory activities · 2 to 3
        Feb 18, 2014 to Apr 7, 2014
      • Employees · 8 to 9
        Feb 18, 2014 to Apr 7, 2014
      • Discretionary RAUM · $77.8M to $474M
        Feb 18, 2014 to Apr 7, 2014
      • Non-discretionary RAUM · $284M to $1.4B
        Feb 18, 2014 to Apr 7, 2014
      • RAUM · $362M to $1.9B
        Feb 18, 2014 to Apr 7, 2014
      • Accounts · 15 to 19
        Mar 5, 2012 to Jan 30, 2013
      • Advisory employees · unset to 6.0
        Mar 5, 2012 to Jan 30, 2013
      • Advisory activities · 3 to 2
        Mar 5, 2012 to Jan 30, 2013
      • BD registered reps · unset to 0.0
        Mar 5, 2012 to Jan 30, 2013
      • Employees · unset to 8.0
        Mar 5, 2012 to Jan 30, 2013
      • Discretionary RAUM · $28.0M to $77.8M
        Mar 5, 2012 to Jan 30, 2013
      • Non-discretionary RAUM · $177M to $284M
        Mar 5, 2012 to Jan 30, 2013
      • RAUM · $205M to $362M
        Mar 5, 2012 to Jan 30, 2013
      Signals
      No event on the tape.
      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