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•••••••••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 142962SEC 801-67503IAPD

Legal name T••• C•••••• M••••••••• L••

Latest filing Apr 30, 2023

First filing on the tape Mar 29, 2012 · 38 filings

RAUM

$1.6B

reported, Item 5.F

Discretionary

79%

of RAUM

Private clients

77%

$1.2B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$439M gross assets

History

38 filings and snapshots on the tape

RAUM$1.6B as of Mar 30, 2023

Apr 2, 2012$174M then

HNW client RAUM$1.0B as of Mar 30, 2023

Mar 29, 2018$775M then

State-registered IARs (5.B.3)10 as of Mar 30, 2023

Apr 2, 20120 then

Employees (5.A)37 as of Mar 30, 2023

Mar 28, 201314 then

Private funds54 as of Mar 30, 2023

Apr 2, 201210 then

RAUM -8.2% over the last fiscal year+10% a year over threeIARs 9 to 10offices 4 to 5

Practice profile

derived from the filing of Apr 30, 2023; every figure names its basis

RAUM per advisor: $159MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 37derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.8MderivedHNW RAUM over HNW clients
Average account: $3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 79%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.7derivedItem 5.A over advisors
Advisors per office: 1.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year: -8.2%derivedbetween the last two annual amendments
Advisor growth, one year: +11%derivedItem 5.B.3 between annual amendments
Client growth, one year: +59%derived
Compensation: percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $70.0M, 210 clientsreportedItem 9.A
Ownership: a PE fund or sponsor is a 25 percent or greater owner 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)
compensates persons for client referrals (8.G.1)
has custody of client cash or bank accounts (9.A.1.a)
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

High-net-worth individuals$1.0B65%
Pooled investment vehicles$364M23%
Individuals$184M12%
Corporations and businesses$1.9M0.1%

Individual clients: 194reported
HNW clients: 180reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 431reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $70.0M for 210 clientsreported
Compensation: % of AUM, fixed, 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

J•••• T••••• C•••• to C•••••• A•••• M••••••••• L••
May 11, 2023 · RIA to RIA
J••• W••••• C••••••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
C••••••••• D••••• S•••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
C••••••••• C•••• S•••••••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
T••••• A•••••• H•••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
K•••••• J••••• S•••••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
G••• B••• F•••••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
J•••• D••••• B••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
G••••• H••••••• L•••• to C•••••• A•••• M••••••••• L••
May 8, 2023 · RIA to RIA
J••••• H••••••• B••• to M•• C•••••• M••••••••• L••
Sep 14, 2022 · RIA to RIA
J••••• R• M••••• to I•••••••• C•••••• L••
Jun 2, 2014 · Other
J••••• R•••••• L•• to I•••••••• C•••••• L••
Jun 2, 2014 · Other
M••• S••••• D•••• to T•• D•••• G••••• L••
Jan 17, 2012 · Other

Joined, latest

C••••••••• D••••• S•••• from M• H••••••• S••••••••• I•••
Apr 28, 2022 · Affiliated broker-dealer or bank to independent RIA
G••• B••• F•••••• from M• H••••••• S••••••••• I•••
Apr 28, 2022 · Affiliated broker-dealer or bank to independent RIA
T••••• A•••••• H•••• from M••••• S••••••
Nov 7, 2016 · Other
C••••••••• C•••• S•••••••• from O•••• F•• I•••
May 15, 2015 · Other
J••••• H••••••• B••• from C•• C•••••• M••••••••• I••
Nov 4, 2014 · Other
K•••••• J••••• S•••••• from U•• F•••••••• S••••••• I•••
Mar 26, 2013 · Other
J••••• R• M••••• from A••••••••• L•••
May 3, 2011 · Other
J•••• D••••• B••• from M•• I•••••••• S•••••••• L••
Apr 5, 2010 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

8 left for C•••••• A•••• M••••••••• L••
May 8, 2023 · San Francisco, Ca · Firm absorbed

2 joined from M• H••••••• S••••••••• I•••
Dec 15, 2022 · Nashville, Tn

Teams out Teams in

Private funds

22 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T••••••••• P•••••••• L••no longer reported	Venture Capital Fund	$33.4M	62	Mar 26, 2021
T••••••no longer reported	Venture Capital Fund	$17.3M	67	Mar 26, 2021
S•••• F•••••• V•••••••• L•	Venture Capital Fund	$15.8M	38	Mar 30, 2016
T••• C•••••• V•••••••• L•• • S••••• I•• P•••••••no longer reported	Venture Capital Fund	$13.9M	60	Mar 30, 2015
T••• C•••••• V••••••• I•• L•• • S••••• C•no longer reported	Venture Capital Fund	$6.7M	97	Mar 31, 2017
D••••• A••••• F•••no longer reported	Other Private Fund	$6.4M	38	Mar 29, 2012
M•••• M•••• C•••••• P•••••••• L••no longer reported	Private Equity Fund	$4.3M	26	Mar 29, 2012
T•• V•••••••• L•• • S••••• I•no longer reported	Private Equity Fund	$3.9M	73	Mar 29, 2012
T•• E•••• S•••• F•••no longer reported	Venture Capital Fund	$2.9M	19	Mar 29, 2012
T•• V•••••••• L•• • S••••• I•no longer reported	Private Equity Fund	$1.9M	10	Mar 28, 2013
T••• C•••••• V•••••••• L•• • S••••• I•no longer reported	Venture Capital Fund	$1.8M	18	Mar 30, 2016
T••• C•••••• V••••••• I•• L•• • S••••• F•no longer reported	Venture Capital Fund	$1.7M	25	Mar 29, 2019
T•• V•••••••• L•• • S••••• V•no longer reported	Private Equity Fund	$1.5M	4	Mar 28, 2013
T•• V•••••••• L•• • S••••• I••no longer reported	Private Equity Fund	$1.3M	12	Mar 29, 2012
T••• C•••••• I••••••••• I• L••no longer reported	Other Private Fund	$1.3M	7	Mar 29, 2012
S••••• L•• ••• P•••••• L•••••••no longer reported	Other Private Fund	$836,353	4	Mar 27, 2014
D••••• A••••• I•• L••no longer reported	Other Private Fund	$605,157	15	Mar 30, 2015
T••• C•••••• P••••••• I•• L••no longer reported	Real Estate Fund	$425,000	6	Mar 29, 2012
T••• C•••••• P••••••• I••• L••	Venture Capital Fund	$358,294	3	Mar 27, 2014
T••• C•••••• P••••••• I• L••no longer reported	Real Estate Fund	$353,703	11	Mar 29, 2012
D••••• A•••••• L••no longer reported	Other Private Fund	$333,879	15	Mar 30, 2015
T•• V•••••••• L•• • S••••• I•no longer reported	Private Equity Fund	$47,047	37	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• C•••• · Board Membercontrol
since 01/2020 · owns less than 5%
G••••••• M••••••• A•••••• · Chief Financial Officercontrol
since 04/2019 · owns less than 5%
G••••••• H••••••• K•••••••• · President, Chief Operating Officer And Chief Compliance Officercontrol
since 01/2007 · owns 10% to 25%
R••••• D••••••• S•••• · Chief Executive Officercontrol
since 01/2007 · owns 10% to 25%
S••••• A••• H••••• · Board Membercontrol
since 01/2020 · owns less than 5%
B••••• K••••• M•••••• · Chief Investment Officer
since 12/2014 · owns less than 5%
B•••• J••••• D••••• · Managing D•••••Or
since 01/2010 · owns less than 5%
F••••••• G•••• B••• · Managing D•••••Or
since 04/2022 · owns less than 5%
S••••••• K••••••• J••••• · Managing D•••••Or
since 03/2013 · owns 5% to 10%
S••••• C••••••••• D••••• · Managing D•••••Or
since 04/2022 · owns less than 5%

Entity owners

C•••••• P• T••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

G••••• F•••••• V•••••••• L••
pooled vehicle sponsory
S• 7•• M••••••••• L••
pooled vehicle sponsory
T••• S•••••• M••••••••• I• L••
pooled vehicle sponsory
T••• C•••••• I•••••••• S•••••••• L••
real estatey
T••• C•••••• R••• E••••• M••••••••• I•• L••
pooled vehicle sponsory
T••• C•••••• R••• E••••• M••••••••• I••• L••
pooled vehicle sponsory
T••• C•••••• R••• E••••• M••••••••• I•• L••
pooled vehicle sponsory
T••• C•••••• R••• E••••• M••••••••• V• L••
pooled vehicle sponsory
T••• C•••••• R••• E••••• M••••••••• V•• L••
pooled vehicle sponsory
T••• C•••••• R••• E••••• M••••••••• L••
pooled vehicle sponsory
T••• C•••••• S•••••••• I••••• M••••••••• L••
pooled vehicle sponsory
T••• D• W•••••• P••••••• M••••••••• I• L••
pooled vehicle sponsory
T••• L•••• V••••••• M••••••••• L••
pooled vehicle sponsory
T••• N••••• M••••••••• L••
pooled vehicle sponsory
T••• V••••••• M••••••••• C••••••• L••
pooled vehicle sponsory

Advisers that list T••• C•••••• M••••••••• as a related person

301768 n

Offices

Schedule D 1.F, the 25 largest

Los Angeles, CA2 employees
Nashville, TN2 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 282 to 431
Nov 10, 2022 to Mar 30, 2023
Advisory employees · 15 to 14
Nov 10, 2022 to Mar 30, 2023
HNW clients · 147 to 180
Nov 10, 2022 to Mar 30, 2023
Individual clients · 88 to 194
Nov 10, 2022 to Mar 30, 2023
Pooled vehicle clients · 44 to 54
Nov 10, 2022 to Mar 30, 2023
Assets in custody · $380M to $70.0M
Nov 10, 2022 to Mar 30, 2023
Financial planning clients · 0 to 1-10
Nov 10, 2022 to Mar 30, 2023
State-registered IARs · 11 to 10
Nov 10, 2022 to Mar 30, 2023
Private funds · 44 to 54
Nov 10, 2022 to Mar 30, 2023
Discretionary RAUM · $1.3B to $1.3B
Nov 10, 2022 to Mar 30, 2023
HNW RAUM · $1.3B to $1.0B
Nov 10, 2022 to Mar 30, 2023
Individual RAUM · $93.5M to $184M
Nov 10, 2022 to Mar 30, 2023
Non-discretionary RAUM · $449M to $336M
Nov 10, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $318M to $364M
Nov 10, 2022 to Mar 30, 2023
RAUM · $1.7B to $1.6B
Nov 10, 2022 to Mar 30, 2023
Advisory employees · 13 to 15
Apr 20, 2022 to Apr 25, 2022
BD registered reps · 0 to 2
Apr 20, 2022 to Apr 25, 2022
Employees · 35 to 37
Apr 20, 2022 to Apr 25, 2022
State-registered IARs · 9 to 11
Apr 20, 2022 to Apr 25, 2022
Other offices · 4 to 5
Apr 20, 2022 to Apr 25, 2022
Accounts · 283 to 282
Oct 22, 2021 to Mar 30, 2022
Advisory employees · 9 to 13
Oct 22, 2021 to Mar 30, 2022
Corporate clients · 4 to 3
Oct 22, 2021 to Mar 30, 2022
HNW clients · 135 to 147
Oct 22, 2021 to Mar 30, 2022
Individual clients · 109 to 88
Oct 22, 2021 to Mar 30, 2022
Pooled vehicle clients · 35 to 44
Oct 22, 2021 to Mar 30, 2022
Assets in custody · $300M to $380M
Oct 22, 2021 to Mar 30, 2022
Other offices · 1 to 4
Oct 22, 2021 to Mar 30, 2022
Private funds · 35 to 44
Oct 22, 2021 to Mar 30, 2022
Discretionary RAUM · $1.2B to $1.3B
Oct 22, 2021 to Mar 30, 2022
HNW RAUM · $983M to $1.3B
Oct 22, 2021 to Mar 30, 2022
Individual RAUM · $93.2M to $93.5M
Oct 22, 2021 to Mar 30, 2022
Non-discretionary RAUM · $178M to $449M
Oct 22, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $296M to $318M
Oct 22, 2021 to Mar 30, 2022
RAUM · $1.4B to $1.7B
Oct 22, 2021 to Mar 30, 2022
Accounts · 333 to 283
Mar 11, 2021 to Mar 26, 2021
Advisory employees · 12 to 9
Mar 11, 2021 to Mar 26, 2021
Individual clients · 165 to 109
Mar 11, 2021 to Mar 26, 2021
Pooled vehicle clients · 29 to 35
Mar 11, 2021 to Mar 26, 2021
Assets in custody · $276M to $300M
Mar 11, 2021 to Mar 26, 2021

Signals

19 dated events

J•••• T••••• C•••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-09)
May 11, 2023 · Advisor changed firm · fact
C••••••••• C•••• S•••••••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-18)
May 8, 2023 · Advisor changed firm · fact
T••••• A•••••• H•••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-06-16)
May 8, 2023 · Advisor changed firm · fact
G••• B••• F•••••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-02)
May 8, 2023 · Advisor changed firm · fact
C••••••••• D••••• S•••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-02)
May 8, 2023 · Advisor changed firm · fact
T••• C•••••• M•••••••••'s advisors moved to C•••••• A•••• M••••••••• L•• (San Francisco, CA): 9 of 9 registered, within 3 days
May 8, 2023 · Firm absorbed (people side) · derived
K•••••• J••••• S•••••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-02)
May 8, 2023 · Advisor changed firm · fact
J••• W••••• C••••••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-01)
May 8, 2023 · Advisor changed firm · fact
J•••• D••••• B••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-01)
May 8, 2023 · Advisor changed firm · fact
G••••• H••••••• L•••• left T••• C•••••• M••••••••• for C•••••• A•••• M••••••••• L•• (registered 2023-05-01)
May 8, 2023 · Advisor changed firm · fact
2 advisors left M• H••••••• S••••••••• I••• (Nashville, TN) for T••• C•••••• M••••••••• on the same day
Dec 15, 2022 · Team lift-out · derived
J••••• H••••••• B••• left T••• C•••••• M••••••••• for M•• C•••••• M••••••••• L•• (registered 2022-09-27)
Sep 14, 2022 · Advisor changed firm · fact
T••• C•••••• M••••••••• reported RAUM $1.7B, up 26% from $1.4B (2021-10-22 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
Burke Katherine Dowling (General Counsel & Chief Compliance Officer) no longer on Schedule A of T••• C•••••• M••••••••• (listed 2020-07-24, absent 2021-03-11)
Mar 11, 2021 · Control person left · inference
T••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
May 20, 2020 · Succession (Item 4) · fact
Burke Katherine Dowling (General Counsel & Chief Compliance Officer) appeared on Schedule A of T••• C•••••• M•••••••••
Mar 5, 2020 · Control person joined · fact
C•••• B•••• (Board Member) appeared on Schedule A of T••• C•••••• M•••••••••
Mar 5, 2020 · Control person joined · fact
A•••••• M•••••• G•••••• (Chief Financial Officer) appeared on Schedule A of T••• C•••••• M•••••••••
Mar 5, 2020 · Control person joined · fact
Howard Avy Stein (Board Member) appeared on Schedule A of T••• C•••••• M•••••••••
Mar 5, 2020 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

T••• C•••••• M••••••••• · Private Equity
shared crd · organization
T••• C•••••• M••••••••• · Venture Capital
shared 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

Across the graphs

T••• C•••••• M••••••••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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