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••••••• P••• P•••••••• L•
Latest filing May 5, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Sep 29, 2008
RAUM
$272M
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
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
3
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$272M as of May 5, 2026
Mar 27, 2012$305M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 27, 20120 then
Employees (5.A)5 as of May 5, 2026
Feb 28, 201310 then
Private funds3 as of May 5, 2026
Mar 27, 20122 then
RAUM -13% over the last fiscal year-4.1% a year over threeIARs 0 to 0offices 5 to 4
Practice profile
derived from the filing of May 5, 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
- $90.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$272M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=false 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• P••• P••••••• I••• L• | Hedge Fund | $134M | 20 | Mar 27, 2019 |
| T••••••• P••• P••••••• I•• L• | Hedge Fund | $106M | 31 | Nov 5, 2012 |
| T••••••• P••• P••••••• G••••• A••••••••• L•no longer reported | Hedge Fund | $48.1M | 22 | Mar 27, 2012 |
| T••••••• P••• P••••••• P•••••• E•••••• L• | Hedge Fund | $31.2M | 23 | Mar 27, 2012 |
| T•• I• A•••• F•••• L•no longer reported | Hedge Fund | $18.1M | 52 | Mar 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••• M•••••• · Chief Financial Officer; Chief Compliance Officercontrolsince 05/2008 · owns less than 5%
- D••••••• D•••• F•••• · Chief Executive Officercontrolsince 05/2022 · owns less than 5%
- M•••••• M••••••• C•••••••• · Chairmancontrolsince 04/2008 · owns less than 5%
- P•••••••• D••••• L••••••• · President And Limited Partnercontrolsince 04/2008 · owns 10% to 25%
- D••••••• D•••• F•••• · Trusteecontrolsince 10/2005 · owns F of D••••••••• R•••••••• T••••
- M•••••• C••••••••• R••••• · Trusteecontrolsince 01/2006 · owns F of T•• C•••••• H••••••• R•••••••• T••••
- M•••••• M••••••• C•••••••• · Trusteecontrolsince 01/2006 · owns F of T•• C•••••• H••••••• R•••••••• T••••
- M•••••• M••••••• C•••••••• · Managercontrolsince 05/2007 · owns F of P••••••••• G•• L••
- P•••••••• D••••• L••••••• · Trusteecontrolsince 07/2015 · owns F of 1••• P••••••• M•••••• T••••
- S••••••••• J•••••••• L••• · Trusteecontrolsince 10/2005 · owns F of D••••••••• R•••••••• T••••
Entity owners
- P••••••••• I••••••••• L• · Limited Partnerdirect · owns 25% to 50%
- T••••••• P••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
- 1••• P••••••• M•••••• T•••• · Limited Partnerindirect · owns 25% to 50% of T••••••• P••• P••••••• G•• L••
- D••••••••• R•••••••• T•••• · Limited Partnerindirect · owns F of T••••••• P••• P••••••• G•• L••
- P••••••••• G•• L•• · General Partnerindirect · owns F of P••••••••• I••••••••• L•
- P••••••••• H•••••••• I••• · Limited Partnerindirect · owns 75% or more of P••••••••• I••••••••• L•
- T•• C•••••• H••••••• R•••••••• T•••• · Limited Partnerindirect · owns 25% to 50% of T••••••• P••• P••••••• G•• L••
- D••••••••• R•••••••• T•••• · Limited Partnerdirect · owns 10% to 25%
- T•• C•••••• H••••••• R•••••••• T•••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Pacific Grove, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 6 to 5May 9, 2025 to Mar 30, 2026
- Other offices · 5 to 4May 9, 2025 to Mar 30, 2026
- Discretionary RAUM · $313M to $272MMay 9, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $313M to $272MMay 9, 2025 to Mar 30, 2026
- RAUM · $313M to $272MMay 9, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to May 9, 2025
- Advisory employees · 5 to 4Jul 23, 2024 to Mar 27, 2025
- Employees · 7 to 6Jul 23, 2024 to Mar 27, 2025
- State-registered IARs · 1 to 0Jul 23, 2024 to Mar 27, 2025
- Other offices · 6 to 5Jul 23, 2024 to Mar 27, 2025
- Discretionary RAUM · $317M to $313MJul 23, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $317M to $313MJul 23, 2024 to Mar 27, 2025
- RAUM · $317M to $313MJul 23, 2024 to Mar 27, 2025
- Discretionary RAUM · $308M to $317MMar 24, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $308M to $317MMar 24, 2023 to Mar 27, 2024
- RAUM · $308M to $317MMar 24, 2023 to Mar 27, 2024
- Discretionary RAUM · $396M to $308MMay 2, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $396M to $308MMay 2, 2022 to Mar 24, 2023
- RAUM · $396M to $308MMay 2, 2022 to Mar 24, 2023
- Advisory employees · 6 to 5Sep 29, 2021 to Mar 23, 2022
- Employees · 8 to 7Sep 29, 2021 to Mar 23, 2022
- Discretionary RAUM · $316M to $396MSep 29, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $316M to $396MSep 29, 2021 to Mar 23, 2022
- RAUM · $316M to $396MSep 29, 2021 to Mar 23, 2022
- HQ city · CARMEL to PALO ALTOMar 23, 2021 to Sep 29, 2021
- Other offices · 2 to 6Mar 23, 2021 to Sep 29, 2021
- Accounts · 4 to 3Mar 23, 2020 to Mar 23, 2021
- Pooled vehicle clients · 4 to 3Mar 23, 2020 to Mar 23, 2021
- Employees · 10 to 8Mar 23, 2020 to Mar 23, 2021
- Private funds · 4 to 3Mar 23, 2020 to Mar 23, 2021
- Discretionary RAUM · $443M to $316MMar 23, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $443M to $316MMar 23, 2020 to Mar 23, 2021
- RAUM · $443M to $316MMar 23, 2020 to Mar 23, 2021
- Private funds · 5 to 4Mar 27, 2019 to Mar 23, 2020
- Accounts · 5 to 4Mar 27, 2019 to Mar 23, 2020
- Pooled vehicle clients · 5 to 4Mar 27, 2019 to Mar 23, 2020
- Discretionary RAUM · $559M to $443MMar 27, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · $559M to $443MMar 27, 2019 to Mar 23, 2020
- RAUM · $559M to $443MMar 27, 2019 to Mar 23, 2020
- Accounts · 4 to 5Mar 28, 2018 to Mar 27, 2019
Signals
1 dated events
- T••••••• P••• P•••••••• L• reported RAUM $316.3M, down 29% from $442.5M (2020-03-23 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T••••••• P••• P•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- T•••••••P•••PARTNERS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 831-998-9540reportedpublic record, Form ADV, May 5, 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