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.
SEC-registered adviser
Loop Capital Asset Management
Legal name Loop Capital Asset Management - Tch LLC
Latest filing Mar 19, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Feb 6, 2009
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.4B
derived; firm RAUM over IAPD count
Employees
23
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$11B as of Mar 19, 2026
Mar 30, 2012$6.8B then
HNW client RAUM$0 as of Mar 19, 2026
Mar 29, 2018$2.5M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Apr 1, 20135 then
Employees (5.A)23 as of Mar 19, 2026
Apr 1, 201323 then
Private funds3 as of Mar 19, 2026
Mar 28, 20234 then
RAUM +9.7% over the last fiscal year+9.1% a year over threeIARs 2 to 2offices 2 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $5.4BderivedRAUM 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
- $120MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.7%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$5.4B50%
- State and municipal entities$1.8B17%
- Other investment advisers$953M8.8%
- Corporations and businesses$889M8.2%
- Banks and thrifts$745M6.9%
- Pooled investment vehicles$562M5.2%
- Charitable organizations$342M3.2%
- Sovereign wealth funds$54.0M0.5%
- Investment companies$25.0M0.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 31reported
- Charitable clients
- 4reported
- Accounts
- 90reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.14 institutional_share=0.71 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Thaddeus Deary | Miami, Fl | May 24, 2023 | 10 y | 3 |
| Jackson Ryan Smith | Houston, Tx | May 24, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Maria Teresa Canida to Ceeto Capital Group, LLCDec 31, 2017 · Other
- William James Canida to Ceeto Capital Group, LLCDec 31, 2017 · Other
Joined, latest
- Richard Thaddeus Deary from Ptma Investment AdvisorsMay 24, 2023 · Other
- William James Canida from Taplin Canida & Habacht IncMay 27, 2009 · Other
- Maria Teresa Canida from Taplin Canida & Habacht IncFeb 6, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Ceeto Capital Group, LLCDec 31, 2017 · Miami, Fl
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Core Plus Fixed Income, LLC | Other Private Fund | $73.2M | 1 | Jul 11, 2022 |
| Core Fixed Income, LLC | Other Private Fund | $33.7M | 2 | Jul 11, 2022 |
| Short-Term Bond, LLC | Other Private Fund | $24.1M | 1 | Jul 11, 2022 |
| Sustainable Fixed Income, LLC | Other Private Fund | $19.8M | 2 | Jul 11, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M Scott Kimball · Cio Loop Capital Asset Management - Tch, LLCcontrolsince 03/2023 · owns less than 5%
- Michael Adam Phillips · Managing Director Loop Capital Asset Management - Tch, LLCcontrolsince 09/2020 · owns less than 5%
- James Reynolds · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- James Reynolds · Member Of Loop Capital Holdings LLCcontrolsince 01/2004 · owns 75% or more of Loop Capital Holdings LLC
- Sidney Stephen Berkeley · Chief Compliance Officersince 01/2022 · owns less than 5%
- Adam Ira Lupkin · Chief Financial Officersince 01/2022 · owns less than 5%
Entity owners
- Loop Capital Asset Management LLC · Sole Member Of Loop Capital Asset Management -Tch LLCdirect · owns 75% or more
- Loop Capital Holdings LLC · Shareholder Of Loop Capital, LLCindirect · owns 50% to 75% of Loop Capital LLC
- Loop Capital LLC · Sole Shareholder Of Loop Capital Asset Management LLCindirect · owns 75% or more of Loop Capital Asset Management LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- New York, NY3 employees
- Houston, TX3 employees
What changed
consecutive filings, newest first
- Accounts · 84 to 90Mar 19, 2025 to Mar 19, 2026
- Advisory activities · 2 to 3Mar 19, 2025 to Mar 19, 2026
- Charity clients · 3 to 4Mar 19, 2025 to Mar 19, 2026
- Corporate clients · 19 to 14Mar 19, 2025 to Mar 19, 2026
- Pension plan clients · 27 to 31Mar 19, 2025 to Mar 19, 2026
- Other offices · 2 to 0Mar 19, 2025 to Mar 19, 2026
- Private funds · 4 to 3Mar 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $9.9B to $11BMar 19, 2025 to Mar 19, 2026
- HNW RAUM · unset to 0.0Mar 19, 2025 to Mar 19, 2026
- Pension RAUM · $5.1B to $5.4BMar 19, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $359M to $562MMar 19, 2025 to Mar 19, 2026
- RAUM · $9.9B to $11BMar 19, 2025 to Mar 19, 2026
- Advisory employees · 25 to 18Mar 21, 2024 to Mar 19, 2025
- Corporate clients · 21 to 19Mar 21, 2024 to Mar 19, 2025
- Pension plan clients · 24 to 27Mar 21, 2024 to Mar 19, 2025
- Employees · 31 to 23Mar 21, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 19, 2025
- State-registered IARs · 4 to 2Mar 21, 2024 to Mar 19, 2025
- Discretionary RAUM · $8.5B to $9.9BMar 21, 2024 to Mar 19, 2025
- Pension RAUM · $4.1B to $5.1BMar 21, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $193M to $359MMar 21, 2024 to Mar 19, 2025
- RAUM · $8.5B to $9.9BMar 21, 2024 to Mar 19, 2025
- Accounts · 82 to 84Jan 22, 2024 to Mar 21, 2024
- Advisory employees · 22 to 25Jan 22, 2024 to Mar 21, 2024
- BD registered reps · 1 to 3Jan 22, 2024 to Mar 21, 2024
- Pension plan clients · 23 to 24Jan 22, 2024 to Mar 21, 2024
- Employees · 30 to 31Jan 22, 2024 to Mar 21, 2024
- State-registered IARs · 1 to 4Jan 22, 2024 to Mar 21, 2024
- Discretionary RAUM · $8.3B to $8.5BJan 22, 2024 to Mar 21, 2024
- Pension RAUM · $3.7B to $4.1BJan 22, 2024 to Mar 21, 2024
- Pooled vehicle RAUM · $151M to $193MJan 22, 2024 to Mar 21, 2024
- RAUM · $8.3B to $8.5BJan 22, 2024 to Mar 21, 2024
- Accounts · 34 to 82Jul 11, 2022 to Mar 28, 2023
- Advisory employees · 16 to 22Jul 11, 2022 to Mar 28, 2023
- BD registered reps · 0 to 1Jul 11, 2022 to Mar 28, 2023
- Charity clients · 1 to 3Jul 11, 2022 to Mar 28, 2023
- Corporate clients · 3 to 21Jul 11, 2022 to Mar 28, 2023
- Pension plan clients · 20 to 23Jul 11, 2022 to Mar 28, 2023
- Employees · 24 to 30Jul 11, 2022 to Mar 28, 2023
- State-registered IARs · 0 to 1Jul 11, 2022 to Mar 28, 2023
Signals
17 dated events
- Loop Capital Asset Management reported RAUM $8.3B, up 47% from $5.6B (2022-07-11 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Loop Capital Asset Management reported RAUM $5.6B, down 53% from $12.0B (2021-04-28 to 2022-02-25)Feb 25, 2022 · RAUM change · derived
- James Reynolds (Member Of Loop Capital Holdings Llc) appeared on Schedule A of Loop Capital Asset ManagementFeb 25, 2022 · Control person joined · fact
- Adrian Richard Watts (Director) no longer on Schedule A of Loop Capital Asset Management (listed 2021-04-28, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Jeffrey Steven Arquilla (Director) no longer on Schedule A of Loop Capital Asset Management (listed 2021-04-28, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Gordon Julian Lee Wanie (Director) no longer on Schedule A of Loop Capital Asset Management (listed 2021-04-28, absent 2022-02-25)Feb 25, 2022 · Control person left · inference
- Loop Capital Asset Management reported RAUM $11.7B, up 26% from $9.3B (2020-10-07 to 2020-10-27)Oct 27, 2020 · RAUM change · derived
- M Scott Kimball (Co-Head Taplin, Canida & Habacht, Llc) appeared on Schedule A of Loop Capital Asset ManagementOct 7, 2020 · Control person joined · fact
- Michael Adam Phillips (Director/Co-Head Taplin, Canida & Habacht Llc) appeared on Schedule A of Loop Capital Asset ManagementOct 7, 2020 · Control person joined · fact
- Elizabeth Janelle Woodward (Director/President) no longer on Schedule A of Loop Capital Asset Management (listed 2020-03-30, absent 2020-10-07)Oct 7, 2020 · Control person left · inference
- Gordon Julian Lee Wanie (Director) appeared on Schedule A of Loop Capital Asset ManagementMay 23, 2019 · Control person joined · fact
- Zabida Joan Mohammed (Director) no longer on Schedule A of Loop Capital Asset Management (listed 2019-04-26, absent 2019-05-23)May 23, 2019 · Control person left · inference
- Raymond Steve Ilott (Director) no longer on Schedule A of Loop Capital Asset Management (listed 2019-04-26, absent 2019-05-23)May 23, 2019 · Control person left · inference
- Jeffrey Steven Arquilla (Director) appeared on Schedule A of Loop Capital Asset ManagementMar 29, 2019 · Control person joined · fact
- Edward Phillip Enochs (Director/Member Of The Management Committee) no longer on Schedule A of Loop Capital Asset Management (listed 2018-10-04, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- M Scott Kimball (Member Of The Management Committee) no longer on Schedule A of Loop Capital Asset Management (listed 2018-10-04, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Daniela Mardarovici (Member Of The Management Committee) no longer on Schedule A of Loop Capital Asset Management (listed 2018-10-04, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Loop Capital Asset Management · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- loopcapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 305-379-2100reportedpublic record, Form ADV, Mar 19, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026