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
E•••• R•••• I••••••••• M••••••••• L••
Latest filing Mar 13, 2024
First filing on the tape Mar 27, 2012 · 22 filings
SEC status approved since Aug 5, 2008
RAUM
$1.2B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
91%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.2B as of Mar 13, 2024
Mar 27, 2012$258M then
HNW client RAUM$1.0B as of Mar 13, 2024
Mar 28, 2018$621M then
State-registered IARs (5.B.3)1 as of Mar 13, 2024
Mar 27, 20120 then
Employees (5.A)13 as of Mar 13, 2024
Mar 19, 20135 then
Private funds1 as of Mar 29, 2019
Mar 29, 20161 then
RAUM +18% over the last fiscal year+6.7% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 373derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B86%
- Charitable organizations$75.8M6.5%
- Individuals$57.5M4.9%
- Pension and profit-sharing plans$20.0M1.7%
- Corporations and businesses$5.4M0.5%
- Individual clients
- 141reported
- HNW clients
- 232reported
- Pension plan clients
- 5reported
- Charitable clients
- 11reported
- Accounts
- 919reported
- Financial planning clients
- 51-100reported
- 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
- A••••• J• H••••••• to C••••••• I••••••••• C••••••Feb 4, 2025 · RIA to RIA
- J••• J•• K••• to C••••••• I••••••••• C••••••Feb 4, 2025 · RIA to RIA
- D•••• A••••• T•••••• to C••••••• I••••••••• C••••••Mar 5, 2018 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• I••••••••• C••••••Feb 4, 2025 · Stamford, Ct
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• P••• C••••••• L•no longer reported | Hedge Fund | $1.8M | 7 | Mar 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• B••••••• · Membercontrolsince 01/2018 · owns 10% to 25%
- K•••• J•••• J•• · Senior Vice President/ Chief Compliance Officercontrolsince 08/2008 · owns 10% to 25%
- L••••••• D••••• K•••••• · Manager And Co-Chief Investment Officercontrolsince 07/2015 · owns 50% to 75%
- O•••••• M••••••• B••••••• · Membercontrolsince 06/2020 · owns 5% to 10%
- T••••••• D••••• A••••• · Manager And Co-Chief Investment Officercontrolsince 08/2008 · owns less than 5%
- T••••••• A••••••••• E• · Membercontrolsince 01/2009 · owns 50% to 75% of T•••••• F••••• H••••••• L••
- T••••••• D••••• A••••• · Membercontrolsince 01/2008 · owns 50% to 75% of T•••••• F••••• H••••••• L••
- O•••••• J•••••• T• · Assigneesince 06/2020 · owns less than 5%
Entity owners
- T•••••• F••••• H••••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E•••• R•••• I••••••••• M••••••••• L•• as a related person
- 108116 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 891 to 919Mar 27, 2023 to Mar 13, 2024
- Charity clients · 13 to 11Mar 27, 2023 to Mar 13, 2024
- HNW clients · 227 to 232Mar 27, 2023 to Mar 13, 2024
- Individual clients · 147 to 141Mar 27, 2023 to Mar 13, 2024
- Pension plan clients · 4 to 5Mar 27, 2023 to Mar 13, 2024
- Financial planning clients · 26-50 to 51-100Mar 27, 2023 to Mar 13, 2024
- State-registered IARs · 2 to 1Mar 27, 2023 to Mar 13, 2024
- Discretionary RAUM · $920M to $1.1BMar 27, 2023 to Mar 13, 2024
- HNW RAUM · $826M to $1.0BMar 27, 2023 to Mar 13, 2024
- Individual RAUM · $56.5M to $57.5MMar 27, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $69.5M to $81.1MMar 27, 2023 to Mar 13, 2024
- Pension RAUM · $17.4M to $20.0MMar 27, 2023 to Mar 13, 2024
- RAUM · $990M to $1.2BMar 27, 2023 to Mar 13, 2024
- Accounts · 834 to 891Mar 24, 2022 to Mar 16, 2023
- Charity clients · 12 to 13Mar 24, 2022 to Mar 16, 2023
- Corporate clients · 3 to 2Mar 24, 2022 to Mar 16, 2023
- HNW clients · 222 to 227Mar 24, 2022 to Mar 16, 2023
- Individual clients · 130 to 147Mar 24, 2022 to Mar 16, 2023
- Pension plan clients · 6 to 4Mar 24, 2022 to Mar 16, 2023
- Discretionary RAUM · $1.1B to $920MMar 24, 2022 to Mar 16, 2023
- HNW RAUM · $969M to $826MMar 24, 2022 to Mar 16, 2023
- Individual RAUM · $58.0M to $56.5MMar 24, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $87.7M to $69.5MMar 24, 2022 to Mar 16, 2023
- Pension RAUM · $29.9M to $17.4MMar 24, 2022 to Mar 16, 2023
- RAUM · $1.2B to $990MMar 24, 2022 to Mar 16, 2023
- Accounts · 780 to 834Mar 24, 2021 to Mar 24, 2022
- Charity clients · 10 to 12Mar 24, 2021 to Mar 24, 2022
- Corporate clients · 4 to 3Mar 24, 2021 to Mar 24, 2022
- HNW clients · 206 to 222Mar 24, 2021 to Mar 24, 2022
- Individual clients · 126 to 130Mar 24, 2021 to Mar 24, 2022
- Pension plan clients · 4 to 6Mar 24, 2021 to Mar 24, 2022
- Employees · 12 to 13Mar 24, 2021 to Mar 24, 2022
- Financial planning clients · 11-25 to 26-50Mar 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $883M to $1.1BMar 24, 2021 to Mar 24, 2022
- HNW RAUM · $804M to $969MMar 24, 2021 to Mar 24, 2022
- Individual RAUM · $51.0M to $58.0MMar 24, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $75.0M to $87.7MMar 24, 2021 to Mar 24, 2022
- Pension RAUM · $20.2M to $29.9MMar 24, 2021 to Mar 24, 2022
- RAUM · $958M to $1.2BMar 24, 2021 to Mar 24, 2022
- Accounts · 723 to 780Jun 29, 2020 to Mar 24, 2021
Signals
7 dated events
- E•••• R•••• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.2B)Mar 6, 2025 · Left the SEC roster · derived
- A••••• J• H••••••• left E•••• R•••• I••••••••• M••••••••• L•• for C••••••• I••••••••• C•••••• (registered 2025-02-10)Feb 4, 2025 · Advisor changed firm · fact
- J••• J•• K••• left E•••• R•••• I••••••••• M••••••••• L•• for C••••••• I••••••••• C•••••• (registered 2025-02-10)Feb 4, 2025 · Advisor changed firm · fact
- 2 advisors left E•••• R•••• I••••••••• M••••••••• L•• (Stamford, CT) for C••••••• I••••••••• C•••••• on the same dayFeb 4, 2025 · Team lift-out · derived
- L Nancy Tillson (Manager) no longer on Schedule A of E•••• R•••• I••••••••• M••••••••• L•• (listed 2021-03-24, absent 2022-03-24)Mar 24, 2022 · Control person left · inference
- Benjamin Michael Oliver (Member) appeared on Schedule A of E•••• R•••• I••••••••• M••••••••• L••Mar 24, 2021 · Control person joined · fact
- E•••• R•••• I••••••••• M••••••••• L•• reported RAUM $778.0M, up 27% from $611.8M (2017-07-24 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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