DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

T••••••• A•••••••• L•

Former SEC-registered adviserCarlsbad, CaliforniaCRD 143298SEC 801-71883IAPD
Latest filing Nov 6, 2015
First filing on the tape Mar 31, 2012 · 17 filings
RAUM
$486M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$398M gross assets
History
17 filings and snapshots on the tape
RAUM$486M as of Mar 20, 2015
Mar 31, 2012$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 20, 2015
Apr 1, 20131 then
Employees (5.A)6 as of Mar 20, 2015
Apr 1, 20135 then
Private funds3 as of Mar 20, 2015
Mar 31, 20121 then
RAUM +62% over the last fiscal year+61% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Nov 6, 2015; every figure names its basis
RAUM per advisor
$486MderivedRAUM 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
$97.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • F••••••••• J•••••• J••• · Limited Partnercontrol
        since 06/2015 · owns less than 5%
      • F••••••••• J•••••• J••• · Managing Membercontrol
        since 06/2015 · owns 75% or more of T••••••• C•••••• G•• L••
      • F•••••• A•••••• H•••••• · Chief Compliance Officer
        since 09/2010 · owns less than 5%
      Entity owners
      • T••••••• C•••••• G•• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • L•• O•••••• O• A••••• F•••••
        n
      • T••••••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 397512323.0 to unset
        Jun 5, 2015 to Nov 6, 2015
      • Custody of client assets · true to false
        Jun 5, 2015 to Nov 6, 2015
      • Organization form · Limited Liability Company to Limited Partnership
        Jun 5, 2015 to Nov 6, 2015
      • Succession · false to true
        Jun 5, 2015 to Nov 6, 2015
      • Business name · T••••••• C•••••• M••••••••• L•• to T••••••• A•••••••• L•
        Nov 6, 2015 to Nov 6, 2015
      • Legal name · T••••••• C•••••• M••••••••• L•• to T••••••• A•••••••• L•
        Nov 6, 2015 to Nov 6, 2015
      • Succession · true to false
        Nov 6, 2015 to Nov 6, 2015
      • Advisory employees · 3 to 4
        Nov 6, 2014 to Mar 20, 2015
      • Assets in custody · $139M to $398M
        Nov 6, 2014 to Mar 20, 2015
      • Employees · 5 to 6
        Nov 6, 2014 to Mar 20, 2015
      • Discretionary RAUM · $300M to $486M
        Nov 6, 2014 to Mar 20, 2015
      • RAUM · $300M to $486M
        Nov 6, 2014 to Mar 20, 2015
      • Advisory activities · 4 to 2
        Mar 26, 2014 to Nov 5, 2014
      • Private funds · 1 to 3
        Mar 26, 2014 to Nov 5, 2014
      • Accounts · 4 to 5
        Oct 2, 2013 to Mar 26, 2014
      • Assets in custody · $85.0M to $139M
        Oct 2, 2013 to Mar 26, 2014
      • Discretionary RAUM · $192M to $300M
        Oct 2, 2013 to Mar 26, 2014
      • RAUM · $192M to $300M
        Oct 2, 2013 to Mar 26, 2014
      • Advisory employees · unset to 3.0
        Jul 25, 2012 to Apr 1, 2013
      • Assets in custody · $42.0M to $85.0M
        Jul 25, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Jul 25, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Jul 25, 2012 to Apr 1, 2013
      • Discretionary RAUM · $117M to $192M
        Jul 25, 2012 to Apr 1, 2013
      • RAUM · $117M to $192M
        Jul 25, 2012 to Apr 1, 2013
      • Assets in custody · $420M to $42.0M
        Jul 20, 2012 to Jul 25, 2012
      Signals
      1 dated events
      • ••• Locked
        Nov 6, 2015 · Succession (Item 4) · 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