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••••• C•••••• M••••••••• L•••
Latest filing Aug 26, 2026
First filing on the tape Jan 14, 2013 · 26 filings
SEC status approved since Jan 24, 2013
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.2%
$33.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
22
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.1B as of Aug 26, 2026
Mar 18, 2014$258M then
HNW client RAUM$33.5M as of Aug 26, 2026
Mar 29, 2018$10.8M then
State-registered IARs (5.B.3)0 as of Aug 26, 2026
Mar 18, 20141 then
Employees (5.A)8 as of Aug 26, 2026
Mar 18, 20145 then
Private funds22 as of Aug 26, 2026
Mar 18, 20144 then
RAUM +23% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $29.5MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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$1.0B96%
- High-net-worth individuals$33.5M3.2%
- Corporations and businesses$4.2M0.4%
- Individual clients
- n/areported
- HNW clients
- 14reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.03 fund_share=0.96 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
Private funds
22 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D••••••• R••••• · Cfo/Ccocontrolsince 06/2015 · owns less than 5%
- N••••••••• D••••••• M•••••• · Managing Member/Ceo/Limited Partnercontrolsince 03/2009 · owns 75% or more
- N••••••••• D••••••• M•••••• · Managing Member/Sole Membercontrolsince 05/2015 · owns 75% or more of T••••• C•••••• M••••••••• G• L••
Entity owners
- T••••• C•••••• M••••••••• G• L•• · Managing Member/General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- T••••• C•••••• G• L••bankpooled vehicle sponsorn
- T••••• H••••••• G• L••bankpooled vehicle sponsorn
- T••••• I••••••••• A••••••• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 18, 2026discretionary share of RAUM moved from 3.0% to 100.0% between the annual amendments of 2025-03-27 and 2026-03-18peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- HQ city · DARIEN to STAMFORDMar 18, 2026 to Aug 26, 2026
- Accounts · 34 to 36Mar 27, 2025 to Mar 18, 2026
- Corporate clients · 0 to 1Mar 27, 2025 to Mar 18, 2026
- HNW clients · 13 to 14Mar 27, 2025 to Mar 18, 2026
- Employees · 5 to 8Mar 27, 2025 to Mar 18, 2026
- Private funds · 18 to 22Mar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $26.1M to $1.1BMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $26.1M to $33.5MMar 27, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $839M to $4.2MMar 27, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $839M to $1.0BMar 27, 2025 to Mar 18, 2026
- RAUM · $865M to $1.1BMar 27, 2025 to Mar 18, 2026
- Accounts · 32 to 34Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 4 to 3Mar 26, 2024 to Mar 27, 2025
- Corporate clients · 1 to 0Mar 26, 2024 to Mar 27, 2025
- HNW clients · 15 to 13Mar 26, 2024 to Mar 27, 2025
- Pooled vehicle clients · 16 to 21Mar 26, 2024 to Mar 27, 2025
- Assets in custody · 529992269.0 to unsetMar 26, 2024 to Mar 27, 2025
- Custody of client assets · true to falseMar 26, 2024 to Mar 27, 2025
- Employees · 4 to 5Mar 26, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 27, 2025
- Private funds · 16 to 18Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $526M to $26.1MMar 26, 2024 to Mar 27, 2025
- HNW RAUM · $31.3M to $26.1MMar 26, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.2M to $839MMar 26, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $494M to $839MMar 26, 2024 to Mar 27, 2025
- RAUM · $530M to $865MMar 26, 2024 to Mar 27, 2025
- Accounts · 33 to 32Apr 13, 2023 to Mar 26, 2024
- Corporate clients · 2 to 1Apr 13, 2023 to Mar 26, 2024
- HNW clients · 17 to 15Apr 13, 2023 to Mar 26, 2024
- Pooled vehicle clients · 13 to 16Apr 13, 2023 to Mar 26, 2024
- Assets in custody · $440M to $530MApr 13, 2023 to Mar 26, 2024
- Private funds · 13 to 16Apr 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $477M to $526MApr 13, 2023 to Mar 26, 2024
- HNW RAUM · $12.0M to $31.3MApr 13, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $12.0M to $4.2MApr 13, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $444M to $494MApr 13, 2023 to Mar 26, 2024
- RAUM · $489M to $530MApr 13, 2023 to Mar 26, 2024
- Accounts · 29 to 33Mar 27, 2023 to Apr 13, 2023
- Pooled vehicle clients · 12 to 13Mar 27, 2023 to Apr 13, 2023
- Private funds · 12 to 13Mar 27, 2023 to Apr 13, 2023
Signals
2 dated events
- T••••• C•••••• M••••••••• L••• reported RAUM $865.4M, up 63% from $530.0M (2024-03-26 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- T••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 14, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••••• C•••••• M••••••••• L••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- T•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-202-7500reportedpublic record, Form ADV, Aug 26, 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