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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SEC-registered adviser

T•• T••• C•••••• P•••••••• L••

Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 144546SEC 801-68178websiteIAPD
Latest filing May 13, 2026
First filing on the tape Feb 3, 2012 · 40 filings
SEC status approved since Aug 20, 2007
RAUM
$7.3B
reported, Item 5.F
Discretionary
93%
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
41
21 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
42
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$7.3B as of May 13, 2026
Feb 3, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 13, 2026
Feb 3, 20120 then
Employees (5.A)41 as of May 13, 2026
Mar 26, 201318 then
Private funds42 as of May 13, 2026
Feb 3, 20128 then
RAUM +3.9% over the last fiscal year-2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 13, 2026; 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
$169MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+3.9%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$7.3B, 43 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.3B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
43reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$7.3B for 43 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
      44 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• T••• V•••••• C•••••• V••• L•••Private Equity Fund$664M7Apr 1, 2015
      T•• T••• V•••••• C•••••• V•••• L•••Private Equity Fund$569M15Mar 31, 2017
      T•• T••• V•••••• C•••••• X• L•••Private Equity Fund$558M71Mar 31, 2022
      T•• T••• V•••••• V••••••• F••• 4• L•••Private Equity Fund$517M75Mar 31, 2022
      T•• T••• V•••••• C•••••• I•• L•••Private Equity Fund$442M31Nov 4, 2019
      T•• T••• V•••••• C•••••• V••••• L•••Private Equity Fund$383M1Mar 25, 2016
      T•• T••• V•••••• V••••••• F••• 2• L•••Private Equity Fund$345M21Mar 31, 2017
      T•• T••• C• V•••••• P••••••• L•Private Equity Fund$302M1Mar 28, 2024
      T•• T••• V•••••• C•••••• V•••••• L•••Private Equity Fund$301M1Mar 31, 2017
      T•• T••• V•••••• C•••••• V•• L•••Private Equity Fund$277M7Mar 26, 2013
      T•• T••• V•••••• V••••••• F••• 3• L•Private Equity Fund$238M22Nov 4, 2019
      T•• T••• V•••••• C•••••• V•••• L•••Private Equity Fund$229M1Mar 26, 2014
      T•• T••• V•••••• C•••••• V••• L•••Private Equity Fund$226M1Feb 3, 2012
      T•• T••• E••••••• V•••••• C•••••• F••• S•••Private Equity Fund$215M14Mar 31, 2021
      B•• V•••••• 2•••• L••• • A•••• S•••••Private Equity Fund$189M1Apr 1, 2015
      T•• T••• V•••••• C•••••• V• L•••Private Equity Fund$180M8Feb 3, 2012
      T•• T••• S•••••••• I••••••••• F•••• L•••Private Equity Fund$171M2Mar 25, 2016
      T•• T••• V•••••• C•••••• I•••• L•••Private Equity Fund$156M1Nov 4, 2019
      T•• T••• C•••••• T••••••••• F•••• L•••Private Equity Fund$151M1Mar 31, 2023
      T••• N•••• S••• L••Private Equity Fund$151M1Mar 31, 2023
      T•• T••• V•••••• V••••••• F•••• L•••Private Equity Fund$134M11Apr 1, 2015
      T•• T••• V•••••• C•••••• I•• L•••Private Equity Fund$111M19Feb 3, 2012
      T•• T••• V•••••• C•••••• I••• L•••no longer reportedVenture Capital Fund$104M21Feb 3, 2012
      T•• T••• A•••• 2• L•••Private Equity Fund$98.2M4Mar 31, 2017
      T••• N•••• S•• I•• L•••Private Equity Fund$92.6M1Mar 31, 2022
      T•• T••• V•••••• V••••••• G••••• F•••• L•••Private Equity Fund$88.3M4Mar 31, 2022
      B•• V•••••• 2•••• L••• • A•••• S•••••Private Equity Fund$85.7M1Nov 4, 2019
      T••• N••• I••••••••• L•••Private Equity Fund$78.0M1Mar 31, 2023
      B•• V•••••• 2•••• L••• • A•••• S•••••Private Equity Fund$59.0M1Mar 31, 2022
      T••••• L••• • O••••••••• S•••••Private Equity Fund$55.8M1Nov 4, 2019
      T••• C•••••••• F••• X• L•••Private Equity Fund$50.2M1Mar 31, 2023
      T••• N•••• S•• G•••••• L•••Private Equity Fund$49.9M1Mar 31, 2023
      T••• C•••••••• O•••••• F••• I•• L•••Private Equity Fund$49.7M1Nov 4, 2019
      T•• T••• V•••••• V••••••• P•••• L•Private Equity Fund$44.9M5Mar 28, 2024
      T••••• L••• • O••••••••• I• S•••••Private Equity Fund$41.8M1Mar 31, 2022
      T•• T••• V•••••• C•••••• I•• L•••no longer reportedVenture Capital Fund$18.2M13Feb 3, 2012
      T•• T••• R•••• I••••••••• F•••• L••• • S••••• 3•Private Equity Fund$10.9M0Mar 31, 2023
      T•• T••• V•••••• C•••••• I•••• L•••Private Equity Fund$10.3M2Mar 31, 2021
      T•• T••• V•••••• V••••••• F••• 3••• L•••Private Equity Fund$8.2M1Mar 31, 2021
      T•• T••• S•••••• O••••••••• F•••• L•••Private Equity Fund$2.7M7Feb 3, 2012
      All funds of T•• T••• C•••••• P•••••••• L••
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• J••••••• L•• · Director, Executive Officer And Member (Common Class)control
        since 01/2014 · owns 10% to 25%
      • B••••••••• P•••••• •••• · Chief Financial Officer And Chief Operating Officercontrol
        since 06/2020 · owns less than 5%
      • D••••••• D••••• P•••••• · Directorcontrol
        since 05/2017 · owns less than 5%
      • D•••••• K••••• E••• · Directorcontrol
        since 05/2014 · owns less than 5%
      • E••••• S•••• M•••••• · Executive Officer And Member (Common Class)control
        since 01/2021 · owns 10% to 25%
      • E•• R•••••• J•••• · Directorcontrol
        since 04/2011 · owns less than 5%
      • F••••••••• E•••• T•••••• · Executive Officer And Member (Common Class)control
        since 10/2019 · owns 10% to 25%
      • T•••••• G••••• A••••• · Director, Executive Officer And Member (Common Class)control
        since 05/2020 · owns 10% to 25%
      • Y•••• D••••• A••••• · Director, Executive Officer And Member (Common Class)control
        since 04/2011 · owns 10% to 25%
      • D•••••• K••••• E••• · Managing Membercontrol
        since 03/2010 · owns F of S•• G•• L••
      • E•• R•••••• J•••• · Membercontrol
        since 01/2011 · owns 25% to 50% of H•••••••• Eu V•••• LLC Via Eu Rev Trust 6/26/99
      • H••••••••• E••••••••• B•••• · Managercontrol
        since 01/2011 · owns F of H•••••••• E• V••••• L••
      • H••••••••• E••••••••• B•••• · Membercontrol
        since 01/2011 · owns 25% to 50% of H•••••••• Eu V•••• LLC Via Eu Rev Trust 6/26/99
      • M••••••••• J•••• C•••••• · Successor Trusteecontrol
        since 07/2012 · owns F of S••••••••• T•••• U•• E••••• • E•• S••• R•••••••• T••••
      • M••••••••• J•••• C•••••• · Managing Directorcontrol
        since 02/2004 · owns F of S••• Ventures LLC
      • S••••••••• J••••• M•••••• · Managing Membercontrol
        since 03/2010 · owns F of S•• G•• L••
      • S•••• C••••••• H••• · Shareholder/Trusteecontrol
        since 01/1995 · owns 25% to 50% of S••• D••••••••• Investments Inc Via P•••• & C•••••• S••• Rev Trust
      • S•••• D••••••• B•••••• · Shareholder/Trusteecontrol
        since 11/1986 · owns 25% to 50% of S••• D••••••••• Investments Inc Via J••• F. S••• Family Trust
      • S•••• J•••• F•••••• · Shareholder/Trusteecontrol
        since 11/1986 · owns 25% to 50% of S••• D••••••••• Investments Inc Via J••• F S••• Family Trust
      • S•••• M•••• S••• · Trusteecontrol
        since 07/2012 · owns F of S••••••••• T•••• U•• E••••• • E•• S••• R•••••••• T••••
      • S•••• P••••• O••• · Shareholder/Trusteecontrol
        since 01/1995 · owns 25% to 50% of S••• D••••••••• Investments Inc Via P•••• & C•••••• S••• Rev Trust
      • T••• R•••• W••••• · Membercontrol
        since 01/2014 · owns 25% to 50% of H•••••••• E• V••••• L••
      • W•••••• A•••• E• · Membercontrol
        since 01/2011 · owns 25% to 50% of H•••••••• Eu V•••• LLC Via W••••• Rev Trust 5/22/02
      • W•••••• S•••• C•••••• · Membercontrol
        since 01/2011 · owns 25% to 50% of H•••••••• Eu V•••• LLC Via W••••• Rev. Trust 5/22/02
      • W•••••• S•••• C•••••• · Managercontrol
        since 01/2011 · owns F of H•••••••• E• V••••• L••
      • B••••• B••••••• D•••••• · Head Of Legal And Compliance
        since 01/2023 · owns less than 5%
      • D•••••• B••••• C••••••••• · Chief Compliance Officer
        since 11/2022 · owns less than 5%
      • E••••• L•••• M•••• · Member (Common Class)
        since 04/2011 · owns 5% to 10%
      • W•••••• S•••• C•••••• · Member (Common Class)
        since 09/2011 · owns less than 5%
      Entity owners
      • S••• V••••••• O••••••••• F••• B• L•• · Member (Preferred Class)
        direct · owns 75% or more
      • S••• D••••••••• I••••••••• I••• · Shareholder
        indirect · owns 25% to 50% of S••• Ventures LLC
      • S••• V••••••• O••••••••• F•••• L• · Member
        indirect · owns 75% or more of S••• V••••••• O••••••••• F••• B• L••
      • S••• V•••••••• L•• · Member
        indirect · owns 25% to 50% of S•• G•• L••
      • S••••••••• T•••• U•• E••••• • E•• S••• R•••••••• T•••• · Shareholder
        indirect · owns 25% to 50% of S••• D••••••••• I••••••••• I•••
      • S•• G•• L•• · General Partner
        indirect · owns 75% or more of S•• G•• L•
      • S•• G•• L• · Managing Member
        indirect · owns 75% or more of S••• V••••••• O••••••••• F•••• L•
      • H•••••••• E• V••••• L•• · Member (Preferred Class)
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S•• G•• L•••
        investment adviserpooled vehicle sponsory
      • T•• T••• A•••• 2• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• B•• V•••••• 2••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• B•• V•••••• 2••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• B•• V•••••• 2••• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• C•••••• P••••••• ••• L••••••
        investment advisery
      • T•• T••• C•••••• T••••••••• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• C• V•••••• P••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• E••••••• V•••••• C•••••• M••••••••• S•••
        pooled vehicle sponsory
      • T•• T••• E••••••• V•••••• C•••••• M••••••••• U•• S•• R•••
        pooled vehicle sponsory
      • T•• T••• F••••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• R•••• I••••••••• M••••••••• L••
        pooled vehicle sponsory
      • T•• T••• S•••••••• I••••••••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• C••••• A••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• I• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• I• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• V• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• V• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• V•• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• V••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• C•••••• X• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• 2• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• 3• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• 4• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• G••••• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• M••••••••• L••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• P•••• M••••••••• L•••
        bankpooled vehicle sponsory
      • T•• T••• V•••••• V••••••• Q• M••••••••• L••
        bankpooled vehicle sponsory
      • T••• C•••••••• F••• X• M••••••••• L•••
        bankpooled vehicle sponsory
      • T••• C•••••••• O•••••• F••• I• M••••••••• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA2 employees
      • London, United Kingdom2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 42 to 43
        Jan 27, 2026 to Mar 31, 2026
      • Pooled vehicle clients · 42 to 43
        Jan 27, 2026 to Mar 31, 2026
      • Assets in custody · $7.0B to $7.3B
        Jan 27, 2026 to Mar 31, 2026
      • Employees · 47 to 41
        Jan 27, 2026 to Mar 31, 2026
      • Private funds · 41 to 42
        Jan 27, 2026 to Mar 31, 2026
      • Discretionary RAUM · $6.5B to $6.7B
        Jan 27, 2026 to Mar 31, 2026
      • Non-discretionary RAUM · $522M to $533M
        Jan 27, 2026 to Mar 31, 2026
      • Pooled vehicle RAUM · $7.0B to $7.3B
        Jan 27, 2026 to Mar 31, 2026
      • RAUM · $7.0B to $7.3B
        Jan 27, 2026 to Mar 31, 2026
      • Accounts · 40 to 42
        May 10, 2024 to Mar 28, 2025
      • Advisory employees · 23 to 21
        May 10, 2024 to Mar 28, 2025
      • Pooled vehicle clients · 39 to 42
        May 10, 2024 to Mar 28, 2025
      • Assets in custody · $7.2B to $7.0B
        May 10, 2024 to Mar 28, 2025
      • Employees · 48 to 47
        May 10, 2024 to Mar 28, 2025
      • Financial planning clients · unset to
        May 10, 2024 to Mar 28, 2025
      • Private funds · 39 to 41
        May 10, 2024 to Mar 28, 2025
      • Discretionary RAUM · $6.6B to $6.5B
        May 10, 2024 to Mar 28, 2025
      • Non-discretionary RAUM · $533M to $522M
        May 10, 2024 to Mar 28, 2025
      • Pooled vehicle RAUM · $7.2B to $7.0B
        May 10, 2024 to Mar 28, 2025
      • RAUM · $7.2B to $7.0B
        May 10, 2024 to Mar 28, 2025
      • Accounts · 38 to 40
        Mar 31, 2023 to Mar 28, 2024
      • Advisory employees · 17 to 23
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle clients · 37 to 39
        Mar 31, 2023 to Mar 28, 2024
      • Assets in custody · $7.9B to $7.2B
        Mar 31, 2023 to Mar 28, 2024
      • Employees · 41 to 48
        Mar 31, 2023 to Mar 28, 2024
      • Private funds · 37 to 39
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $7.3B to $6.6B
        Mar 31, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $555M to $533M
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $7.9B to $7.2B
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $7.9B to $7.2B
        Mar 31, 2023 to Mar 28, 2024
      • Accounts · 33 to 38
        Dec 1, 2022 to Mar 31, 2023
      • Advisory employees · 16 to 17
        Dec 1, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 31 to 37
        Dec 1, 2022 to Mar 31, 2023
      • Assets in custody · $6.6B to $7.9B
        Dec 1, 2022 to Mar 31, 2023
      • Employees · 37 to 41
        Dec 1, 2022 to Mar 31, 2023
      • Private funds · 31 to 37
        Dec 1, 2022 to Mar 31, 2023
      • Discretionary RAUM · $7.8B to $7.3B
        Dec 1, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $289M to $555M
        Dec 1, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $7.9B to $7.9B
        Dec 1, 2022 to Mar 31, 2023
      • RAUM · $8.1B to $7.9B
        Dec 1, 2022 to Mar 31, 2023
      Signals
      7 dated events
      • T•• T••• C•••••• P•••••••• L•• reported RAUM $8.1B, up 58% from $5.1B (2021-04-30 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • T•• T••• C•••••• P•••••••• L•• reported RAUM $5.1B, down 31% from $7.5B (2020-08-07 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Michael Sean Engel (Executive Officer And Member (Common Class)) appeared on Schedule A of T•• T••• C•••••• P•••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • (Nmn) Promit Bhattacharya (Chief Financial Officer) appeared on Schedule A of T•• T••• C•••••• P•••••••• L••
        Aug 7, 2020 · Control person joined · fact
      • Timothy Eric Fitzgerald (Director & Chief Compliance Officer) appeared on Schedule A of T•• T••• C•••••• P•••••••• L••
        Nov 4, 2019 · Control person joined · fact
      • Douglas Andrew Eu (Member) no longer on Schedule A of T•• T••• C•••••• P•••••••• L•• (listed 2018-04-09, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • W••••• R••• Tao (Member) appeared on Schedule A of T•• T••• C•••••• P•••••••• L••
        Mar 28, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      LINKEDIN.COM/COMPANY/TOP-T•••-CAPITAL-PARTNERSreportedpublic record, Form ADV, Sep 18, 2026
      Website
      toptiercapitalpartners.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      415-835-7500reportedpublic record, Form ADV, May 13, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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