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
F•••••• A•••• M••••••••• L••
Latest filing Mar 30, 2016
First filing on the tape Nov 21, 2011 · 9 filings
RAUM
$34.9M
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
20
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$34.8M gross assets
History
9 filings and snapshots on the tape
RAUM: $34.9M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20131 then
Employees (5.A)20 as of Mar 30, 2016
Mar 28, 201313 then
Private funds2 as of Mar 30, 2016
Mar 30, 20124 then
RAUM n/a over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
- $17.4MderivedRAUM 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -100%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 pooled vehiclesreportedItem 5.G
- Custody
- $34.8M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.8M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• F•••••• F•••• L• ••••• T• A• P•••••• F••• 0••••••••no longer reported | Hedge Fund | $3.4M | 5 | Nov 21, 2011 |
| F•••••• V•••••• F•••• L• | Other Private Fund | $195,312 | 14 | Mar 31, 2015 |
| B••• C•••• C••••• O••••••••• F••• ••••••••• C••••• 1••••••••no longer reported | Securitized Asset Fund | $0 | 0 | Nov 21, 2011 |
| F•••••• E•••• F•••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• D••••• E••• · Director Operations And Ccocontrolsince 01/2013 · owns less than 5%
- P••••• J•••• J••••• · Ceocontrolsince 01/2011 · owns less than 5%
- R••••• C••••••• W•••••• · Advisorcontrolsince 01/2011 · owns less than 5%
- P••••• J•••• J••••• · Membercontrolsince 12/2003 · owns 25% to 50% of T•••• C••••••••• Group Investment Advisory Services Management, LLC
- P••••• J•••• J••••• · General Partnercontrolsince 12/2003 · owns 25% to 50% of T•• G•••• H•••••••• L••
- G••••••••• C•••••• · Senior Relationship Managersince 05/2011 · owns less than 5%
- W••••••• M•••• T••••• · Chief M•••Eting Officersince 01/2011 · owns less than 5%
Entity owners
- T•••• C••••••••• G•••• I••••••••• A••••••• S•••••••• L• · Managing Memberdirect · owns 75% or more
- T•• G•••• H•••••••• L•• · Limited Partnerindirect · owns 75% or more of T•••• C••••••••• G•••• I••••••••• A••••••• S•••••••• L•
- T•••• C••••••••• G•••• A••••••• S••••••• M••••••••• L•• · General Partnerindirect · owns F of T•••• C••••••••• G•••• I••••••••• A••••••• S•••••••• L•
Related persons
Schedule D 7.A
- T•• B•••••••• L••real estaten
- T•••• C••••••••• G•••• C••••••••• L•LP sponsorn
- T•• A•••••••• L•investment adviserbankpooled vehicle sponsoryRAUM $3.6B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 15Jul 13, 2015 to Mar 30, 2016
- Assets in custody · $28.2M to $34.8MJul 13, 2015 to Mar 30, 2016
- Employees · 21 to 20Jul 13, 2015 to Mar 30, 2016
- State-registered IARs · 1 to 0Jul 13, 2015 to Mar 30, 2016
- Discretionary RAUM · $28.2M to $34.9MJul 13, 2015 to Mar 30, 2016
- RAUM · $28.2M to $34.9MJul 13, 2015 to Mar 30, 2016
- Accounts · unset to 2.0Mar 31, 2015 to Jun 19, 2015
- Advisory employees · 10 to 9Mar 31, 2015 to Jun 19, 2015
- BD registered reps · 0 to 1Mar 31, 2015 to Jun 19, 2015
- Assets in custody · $90.2M to $28.2MMar 31, 2015 to Jun 19, 2015
- Employees · 10 to 21Mar 31, 2015 to Jun 19, 2015
- Discretionary RAUM · unset to 28158824.0Mar 31, 2015 to Jun 19, 2015
- Non-discretionary RAUM · unset to 0.0Mar 31, 2015 to Jun 19, 2015
- RAUM · unset to 28158824.0Mar 31, 2015 to Jun 19, 2015
- Related bank · false to trueMar 31, 2015 to Jun 19, 2015
- Advisory employees · 12 to 10Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $19.6M to $90.2MMar 31, 2014 to Mar 31, 2015
- Employees · 13 to 10Mar 31, 2014 to Mar 31, 2015
- Private funds · 3 to 2Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $14.4M to $19.6MMar 28, 2013 to Mar 31, 2014
- Private funds · 4 to 3Mar 28, 2013 to Mar 31, 2014
- Advisory employees · unset to 12.0Apr 5, 2012 to Mar 28, 2013
- Assets in custody · $6.7M to $14.4MApr 5, 2012 to Mar 28, 2013
- Employees · unset to 13.0Apr 5, 2012 to Mar 28, 2013
- State-registered IARs · unset to 1.0Apr 5, 2012 to Mar 28, 2013
- Business name · B••• C•••• C•••••• M••••••••• L•• to F•••••• A•••• M••••••••• L••Mar 30, 2012 to Apr 5, 2012
- Legal name · B••• C•••• C•••••• M••••••••• L•• to F•••••• A•••• M••••••••• L••Nov 21, 2011 to Mar 30, 2012
- Private funds · 2 to 4Nov 21, 2011 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F•••••• A•••• M••••••••• L•• · Private Equityshared crd · organization
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