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•••••••• A•••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Feb 27, 2012 · 54 filings
SEC status approved since Feb 10, 2009
RAUM
$31B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
78%
$24B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$5.2B
derived; firm RAUM over IAPD count
Employees
182
64 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
23
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$31B as of Jul 10, 2026
Feb 27, 2012$2.5B then
HNW client RAUM$24B as of Jul 10, 2026
Mar 29, 2018$11B then
State-registered IARs (5.B.3)0 as of Jul 10, 2026
Feb 27, 20120 then
Employees (5.A)182 as of Jul 10, 2026
Feb 28, 201332 then
Private funds23 as of Jul 10, 2026
Feb 27, 20121 then
RAUM +6.8% over the last fiscal year+11% a year over threeIARs 0 to 0offices 9 to 8
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $5.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $59.2MderivedHNW RAUM over HNW clients
- Average account
- $50.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 30.3derivedItem 5.A over advisors
- Advisors per office
- 0.7derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $13B, 438 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$24B78%
- Pooled investment vehicles$4.5B14%
- Charitable organizations$2.4B7.8%
- Individual clients
- 0reported
- HNW clients
- 407reported
- Pension plan clients
- 0reported
- Charitable clients
- 31reported
- Accounts
- 614reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $13B for 438 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.78 fund_share=0.14 institutional_share=0.08 related_bd=true related_bank=true bd_reps=0.0 bank_owner=falsederived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• T••••• P••••Chartered Financial Analyst | New York, Ny | Jul 10, 2024 | 13 y | 1 |
| J•••• A•••• S••• | New York, Ny | Jul 11, 2024 | 26 y | 7 |
| A•••••• S•••• Q••••Chartered Financial Analyst | Minneapolis, Mn | Jul 11, 2024 | 12 y | 1 |
| E•••• H••••••Chartered Financial Analyst | Minneapolis, Mn | Jul 15, 2024 | 15 y | 1 |
| R••• D•••• S••••••••• | New York, Ny | Jul 16, 2024 | 31 y | 4 |
| C•••• A•••••• P••••• | Coral Gables, Fl | Sep 4, 2026 | 26 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• A•••••• P••••• from G•• A••••••• S•••••••• L••Sep 4, 2026 · Other
- R••• D•••• S••••••••• from E•••• L••Jul 16, 2024 · RIA to RIA
- E•••• H•••••• from E•••• L••Jul 15, 2024 · RIA to RIA
- J•••• A•••• S••• from E•••• L••Jul 11, 2024 · RIA to RIA
- A•••••• S•••• Q•••• from E•••• L••Jul 11, 2024 · RIA to RIA
- J••••• T••••• P•••• from E•••• L••Jul 10, 2024 · RIA to RIA
Private funds
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• W•••• E••••• F••• Q•• L• | Hedge Fund | $1.3B | 129 | Apr 2, 2013 |
| T•• M••••••••• F••• Q•• L• | Hedge Fund | $991M | 176 | Apr 2, 2013 |
| H••••• E••••• F•••• L• | Hedge Fund | $391M | 113 | Mar 26, 2015 |
| M•••••••• H••• I••••• F••• Q•• L• | Other Private Fund | $369M | 192 | Nov 2, 2017 |
| E••••• I••••••••• • U•••••• F••• Q•• L• | Hedge Fund | $314M | 146 | Apr 2, 2013 |
| T•• G••••• L••••••••• F••• Q•• L•no longer reported | Hedge Fund | $313M | 106 | Apr 2, 2013 |
| I••••• W•••• E••••• F•••• L• | Hedge Fund | $254M | 54 | Mar 30, 2020 |
| T•• O••••••• F••• S•• • M••••••••• S••••••••• P•••••••• | Hedge Fund | $139M | 59 | Apr 2, 2013 |
| T•• E•• F•••• L• | Hedge Fund | $115M | 9 | Mar 30, 2022 |
| P•••••• E••••• P••••••• V•••• L• | Private Equity Fund | $104M | 44 | Jan 24, 2020 |
| P•••••• E••••• P••••••• V••• L• | Private Equity Fund | $82.9M | 61 | Nov 2, 2017 |
| P•• I• L• | Private Equity Fund | $79.5M | 52 | Aug 20, 2021 |
| A••• T••••••••• R••• E••••• I••••• F•••• L• | Real Estate Fund | $68.1M | 30 | Mar 29, 2024 |
| A••• I•• L• | Real Estate Fund | $52.4M | 21 | Mar 30, 2021 |
| A•••• L• | Real Estate Fund | $52.3M | 45 | Dec 6, 2019 |
| G••••• I••••• A••••• P••••••••• L• | Private Equity Fund | $38.7M | 31 | Mar 30, 2019 |
| G••••• I••••• A••••• P••••••••• I•• L• | Private Equity Fund | $33.5M | 30 | Mar 30, 2021 |
| P•• 1• L• | Private Equity Fund | $28.7M | 21 | Mar 31, 2023 |
| A••• I••• L• | Real Estate Fund | $28.4M | 13 | Mar 31, 2023 |
| T•• P•••••• E••••• P••••••• V• L• | Private Equity Fund | $22.4M | 31 | Apr 2, 2013 |
| T•• F••• F•••• L•no longer reported | Real Estate Fund | $19.7M | 21 | Feb 11, 2016 |
| P•••••• E••••• P••••••• V•• L• | Private Equity Fund | $16.3M | 22 | Feb 11, 2016 |
| G••••• I••••• O••••••••• I••• L• | Private Equity Fund | $16.0M | 13 | Mar 29, 2024 |
| T•• P••••••• F•••• L•no longer reported | Hedge Fund | $15.8M | 10 | Feb 27, 2012 |
| E••••• • U•••••• I••••••••• F•••• L•no longer reported | Hedge Fund | $10.5M | 29 | Apr 2, 2013 |
| T•• O••••••• F••• S•• • G••••• L••••••••• S••••••••• P••••••••no longer reported | Hedge Fund | $9.4M | 23 | Apr 2, 2013 |
| T•• P•••••• E••••• P••••••• I•• L• | Private Equity Fund | $5.9M | 22 | Apr 2, 2013 |
| P•• X• L• | $5.5M | 22 | Jul 10, 2026 | |
| T•• P•••••• E••••• P••••••• I••• L•no longer reported | Private Equity Fund | $4.2M | 43 | Apr 2, 2013 |
| H•••• P•••••• F••• Q•• L•no longer reported | Hedge Fund | $1.1M | 79 | Nov 2, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M••••• L••••• · Lead Financial Officercontrolsince 06/2021 · owns less than 5%
- C••••••• B•••••• B••••• · Presidentcontrolsince 01/2023 · owns less than 5%
- L••••• W••••••• F•••• · Chief Legal Officer, US And Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
- M••••• K••••• P•••••• · Chief Operating Officercontrolsince 04/2008 · owns less than 5%
Entity owners
- A••• G••••• W••••• M••••••••• H••••••• L•••••• · Memberdirect · owns 75% or more
- A••• W••••• • C•••••• S•••••••• · Memberdirect · owns 75% or more
- A••• G••••• C••••••• L•• · Shareholderindirect · owns 75% or more of A••• G••••• T•••• L••••••
- A••• G••••• H•••••••• L•• · Memberindirect · owns 75% or more of A••• W••••• M••••••••• H•••••••• L••
- A••• G••••• T•••• L•••••• · Memberindirect · owns 75% or more of A••• G••••• H•••••••• L••
- A••• G•••••• I••• · Memberindirect · owns 25% to 50% of A••• G••••• C••••••• L•• · public reporting company
- A••• W••••• M••••••••• H•••••••• L•• · Shareholderindirect · owns 75% or more of A••• G••••• W••••• M••••••••• H••••••• L••••••
Related persons
Schedule D 7.A
- A••• R• L••••••investment adviserpooled vehicle sponsorn
- A••• S•••••••• A••••••• ••• L••••••broker-dealerinvestment advisern
- A••• W••••• M••••••••• ••••••• S••investment advisern
- A••• W••••• M••••••••• •••• K•••• L••••••investment advisern
- A••• W••••• M••••••••• ••••••••• • E•••••• D• I••••••••• S•••investment advisern
- A••• W••••• M••••••••• ••••••••• P•• L••••••investment advisern
- A••• W••••• M••••••••• ••••••••• S•investment advisern
- A••• W••••• M••••••••• ••• L••••••investment advisern
- A••••••• F••• M••••••• ••• L••••••investment advisern
- A••• Wealth Management (US International), Inc.investment adviserbanknRAUM $691M
- A••••••• I••••••••• M••••••• ••••••• S•investment advisern
- C•••••• C•••••• L••investment advisern
- C••••• C•••••• A••••••• L••investment advisern
- E••• E•• A•••••••• L••investment advisernRAUM $6.1B
- H•••••• P••••••• L••investment advisern
- S••••• H•••••• I••••• A••••••• L••••••investment advisern
- T•••••••• A••••••• G•• L••bankpooled vehicle sponsory
- T•••••••• C••••••••• A•investment advisern
- T•••••••• I••••••••• ••••••••• 2• A•investment advisern
- T•••••••• T•••• C••••••n
- T•••••••• W••••• M••••••••• G•• L••bankpooled vehicle sponsory
- T•• A••••••• L••investment adviserbanknRAUM $2.0B
Advisers that list T•••••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn | 5 | 0 | 0 | ||
| New York, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA13 employees
- Minneapolis, MN8 employees
- Zurich, Switzerland6 employees
- Wilmington, DE6 employees
- Seattle, WA5 employees
- Dallas, TX4 employees
- Aspen, CO3 employees
- Bethesda, MD3 employees
- Palm Beach, FL2 employees
- Portland, OR1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- h••• office count relative to headcountStatic outlier · filing Jul 10, 2026offices per registered advisor of 1.5 against a peer median of 0.1 (52 comparable advisers, 98.0th percentile, 13.6 robust deviations)peers: independent wealth managers, $20B and over (52) · 98% percentile
- h••• employee count relative to advisorsStatic outlier · filing Jul 10, 2026employees per registered advisor of 30.3 against a peer median of 2.4 (67 comparable advisers, 98.0th percentile, 21.3 robust deviations)peers: independent wealth managers, $20B and over (67) · 98% percentile
- control person changedChange between filings · filing Jul 10, 2026M••••• K••••• P•••••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2023-04-27 and 2026-07-10peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 10, 2026B••••••••• M••••• L••••• (LEAD FINANCIAL OFFICER) left Schedule A between the filings of 2023-04-27 and 2026-07-10peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 627 to 614Jul 22, 2025 to Mar 30, 2026
- Advisory employees · 67 to 64Jul 22, 2025 to Mar 30, 2026
- Charity clients · 32 to 31Jul 22, 2025 to Mar 30, 2026
- HNW clients · 416 to 407Jul 22, 2025 to Mar 30, 2026
- Pooled vehicle clients · 22 to 23Jul 22, 2025 to Mar 30, 2026
- Assets in custody · $12B to $13BJul 22, 2025 to Mar 30, 2026
- Employees · 187 to 182Jul 22, 2025 to Mar 30, 2026
- Other offices · 9 to 8Jul 22, 2025 to Mar 30, 2026
- Private funds · 22 to 23Jul 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $24B to $26BJul 22, 2025 to Mar 30, 2026
- HNW RAUM · $23B to $24BJul 22, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.8B to $4.6BJul 22, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $4.3B to $4.5BJul 22, 2025 to Mar 30, 2026
- RAUM · $29B to $31BJul 22, 2025 to Mar 30, 2026
- Financial planning clients · 251-500 to 251-500Mar 28, 2025 to Jul 22, 2025
- Accounts · 669 to 627Jan 14, 2025 to Mar 28, 2025
- Advisory employees · 64 to 67Jan 14, 2025 to Mar 28, 2025
- Charity clients · 34 to 32Jan 14, 2025 to Mar 28, 2025
- HNW clients · 407 to 416Jan 14, 2025 to Mar 28, 2025
- Pooled vehicle clients · 26 to 22Jan 14, 2025 to Mar 28, 2025
- Assets in custody · $8.6B to $12BJan 14, 2025 to Mar 28, 2025
- Employees · 142 to 187Jan 14, 2025 to Mar 28, 2025
- Other offices · 10 to 9Jan 14, 2025 to Mar 28, 2025
- Private funds · 25 to 22Jan 14, 2025 to Mar 28, 2025
- Discretionary RAUM · $20B to $24BJan 14, 2025 to Mar 28, 2025
- HNW RAUM · $19B to $23BJan 14, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $4.8B to $4.8BJan 14, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $4.3B to $4.3BJan 14, 2025 to Mar 28, 2025
- RAUM · $25B to $29BJan 14, 2025 to Mar 28, 2025
- Other offices · 9 to 10Mar 29, 2024 to Jul 8, 2024
- Accounts · 641 to 669Sep 27, 2023 to Mar 29, 2024
- Charity clients · 28 to 34Sep 27, 2023 to Mar 29, 2024
- Pooled vehicle clients · 28 to 26Sep 27, 2023 to Mar 29, 2024
- Assets in custody · $10B to $8.6BSep 27, 2023 to Mar 29, 2024
- Employees · 123 to 142Sep 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $18B to $20BSep 27, 2023 to Mar 29, 2024
- HNW RAUM · $16B to $19BSep 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $4.1B to $4.8BSep 27, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $4.5B to $4.3BSep 27, 2023 to Mar 29, 2024
- RAUM · $22B to $25BSep 27, 2023 to Mar 29, 2024
Signals
20 dated events
- E•••• L••'s advisors moved to T•••••••• A•••••••• L•• (Minneapolis, MN): 5 of 5 registered, on the same dayJul 2, 2024 · Firm absorbed (people side) · derived
- Glenn Michael T•••••••• (Chief Executive Officer) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Lindsay Craig Smith (President) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Yvesandre Istel (Manager) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Lyle Brodie Cobb (Manager) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Andrew Nicholas Merrick (Manager) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Arthur Eric Russell (Manager) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- K••• R•••••• I••••• (Chief Investment Officer) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Gail Roberta Sydney (Manager) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2022-03-30, absent 2023-01-13)Jan 13, 2023 · Control person left · inference
- Bayard Brooke Connell (President) appeared on Schedule A of T•••••••• A•••••••• L••Jan 13, 2023 · Control person joined · fact
- Louise Maria Beaudette (Controller) appeared on Schedule A of T•••••••• A•••••••• L••Jan 13, 2023 · Control person joined · fact
- T•••••••• A•••••••• L•• reported RAUM $26.6B, up 44% from $18.4B (2022-01-10 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Ann Julie Dunnington (Chief Marketing Officer) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2021-08-20, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- Neil George Mckinnon (Chief Technology Officer) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2020-01-24, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- John Christopher Welch (Chief Financial Officer) no longer on Schedule A of T•••••••• A•••••••• L•• (listed 2019-03-30, absent 2019-12-06)Dec 6, 2019 · Control person left · inference
- Gail Roberta Sydney (Manager) appeared on Schedule A of T•••••••• A•••••••• L••Dec 6, 2019 · Control person joined · fact
- K••• R•••••• I••••• (Chief Investment Officer) appeared on Schedule A of T•••••••• A•••••••• L••Mar 30, 2019 · Control person joined · fact
- Ann Julie Dunnington (Chief Marketing Officer) appeared on Schedule A of T•••••••• A•••••••• L••Mar 30, 2019 · Control person joined · fact
- Neil George Mckinnon (Chief Technology Officer) appeared on Schedule A of T•••••••• A•••••••• L••Mar 30, 2019 · Control person joined · fact
- T•••••••• A•••••••• L•• reported RAUM $12.3B, up 50% from $8.2B (2017-11-02 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T•••••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T•••••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 212-396-5900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-748-3669reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 214-855-2200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- alti-global.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-396-5900reportedpublic record, Form ADV, Jul 10, 2026
- Contact form
- alti-global.com/contact-locationreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- alti-global.com/peoplereportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
T•••••••• A•••••••• L•• 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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