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••
Latest filing Mar 22, 2017
First filing on the tape Apr 2, 2012 · 7 filings
RAUM
$115M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$115M as of Mar 22, 2017
Apr 2, 2012$59.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 22, 2017
Apr 2, 20120 then
Employees (5.A): 4
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 22, 2017; every figure names its basis
- RAUM per advisor
- $57.5MderivedRAUM 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
- $424,354derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 271reported
- 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
- F•••• K••••••• Y• to T••• L•••• C••••••Dec 31, 2017 · Other
- J••• J•••••••• C•• to T••• L•••• C••••••Dec 31, 2017 · Other
Joined, latest
- F•••• K••••••• Y• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 28, 2016 · Other
- J••• J•••••••• C•• from T••• L•••• C••••••Oct 20, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• P••••••• I•• L•no longer reported | Hedge Fund | $2.6M | 5 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••• J•••• J•••••••• · Managing Member/Chief Compliance Officercontrolsince 06/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Honolulu, HI
What changed
consecutive filings, newest first
- Accounts · 205 to 271Mar 7, 2016 to Mar 22, 2017
- Assets in custody · 3200000.0 to unsetMar 7, 2016 to Mar 22, 2017
- Custody of client assets · true to falseMar 7, 2016 to Mar 22, 2017
- Employees · 2 to 4Mar 7, 2016 to Mar 22, 2017
- Discretionary RAUM · $133M to $115MMar 7, 2016 to Mar 22, 2017
- RAUM · $133M to $115MMar 7, 2016 to Mar 22, 2017
- Accounts · 55 to 205Sep 26, 2012 to Mar 7, 2016
- Advisory employees · unset to 2.0Sep 26, 2012 to Mar 7, 2016
- Assets in custody · unset to 3200000.0Sep 26, 2012 to Mar 7, 2016
- Custody of client assets · false to trueSep 26, 2012 to Mar 7, 2016
- Employees · unset to 2.0Sep 26, 2012 to Mar 7, 2016
- Insurance-licensed employees · 1 to 0Sep 26, 2012 to Mar 7, 2016
- State-registered IARs · 0 to 2Sep 26, 2012 to Mar 7, 2016
- Discretionary RAUM · $59.0M to $133MSep 26, 2012 to Mar 7, 2016
- RAUM · $59.0M to $133MSep 26, 2012 to Mar 7, 2016
- Advisory activities · 2 to 1Jun 22, 2012 to Jul 20, 2012
- Private funds · 1 to unsetJun 22, 2012 to Jul 20, 2012
- Assets in custody · 2561348.0 to unsetApr 2, 2012 to Jun 22, 2012
- Custody of client assets · true to falseApr 2, 2012 to Jun 22, 2012
Signals
1 dated events
- T•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 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