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

T•••••• F•••••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 154717SEC 801-112815IAPD
Latest filing Oct 5, 2023
First filing on the tape Mar 11, 2018 · 19 filings
RAUM
$5.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$4.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.7M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$6.2M as of Mar 28, 2023
Mar 29, 2019$30.0M then
HNW client RAUM$4.1M as of Mar 28, 2023
Mar 29, 2019$20.0M then
State-registered IARs (5.B.3)4 as of Mar 28, 2023
Mar 29, 20194 then
Employees (5.A)5 as of Mar 28, 2023
Mar 29, 201912 then
Private funds: no history
RAUM -81% over the last fiscal year-43% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Oct 5, 2023; every figure names its basis
RAUM per advisor
$2.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$409,010derivedHNW RAUM over HNW clients
Average account
$457,884derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-79%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.5M82%
  • Corporations and businesses$995,49818%
Individual clients
n/areported
HNW clients
11reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $5.5M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
I••• P••••• F•••••••New York, Ny Jun 28, 202316 y0
C•••••• D••••• D••••••••New York, Ny Jun 28, 202329 y0
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• C•••••• D••••• · Chief Executive Officercontrol
        since 05/2010 · owns less than 5%
      • D••••••••• C•••••• D••••• · Ownercontrol
        since 05/2010 · owns 75% or more of T•••••• H••••••• L••
      • L•• L••• E•••••••• · Chief Compliance Officer
        since 10/2023 · owns less than 5%
      • M••••••• M•••••• T••••• · Principal Operations Officer/Principal Financial Officer/Finop
        since 06/2015 · owns less than 5%
      Entity owners
      • T•••••• H••••••• L•• · Majority Owner
        direct · owns 75% or more
      • S••••• G•••• I••• · Minority Owner
        direct · owns less than 5% · public reporting company
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list T•••••• F•••••••• P••••••• L•• as a related person
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      New York, Ny · principal200
      Offices
      Schedule D 1.F, the 25 largest
      • , 2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 12
        Jun 30, 2023 to Oct 5, 2023
      • State-registered IARs · 4 to 3
        Jun 30, 2023 to Oct 5, 2023
      • Discretionary RAUM · $6.9M to $5.5M
        Jun 30, 2023 to Oct 5, 2023
      • HNW RAUM · $4.7M to $4.5M
        Jun 30, 2023 to Oct 5, 2023
      • RAUM · $6.9M to $5.5M
        Jun 30, 2023 to Oct 5, 2023
      • Wrap assets (manager) · $6.9M to $5.5M
        Jun 30, 2023 to Oct 5, 2023
      • Accounts · 14 to 13
        Mar 28, 2023 to Jun 30, 2023
      • HNW clients · 13 to 11
        Mar 28, 2023 to Jun 30, 2023
      • Discretionary RAUM · $6.2M to $6.9M
        Mar 28, 2023 to Jun 30, 2023
      • HNW RAUM · $4.1M to $4.7M
        Mar 28, 2023 to Jun 30, 2023
      • RAUM · $6.2M to $6.9M
        Mar 28, 2023 to Jun 30, 2023
      • Wrap assets (manager) · $6.2M to $6.9M
        Mar 28, 2023 to Jun 30, 2023
      • Accounts · 92 to 14
        Apr 28, 2022 to Mar 28, 2023
      • Advisory employees · 6 to 4
        Apr 28, 2022 to Mar 28, 2023
      • BD registered reps · 14 to 5
        Apr 28, 2022 to Mar 28, 2023
      • Corporate clients · 6 to 1
        Apr 28, 2022 to Mar 28, 2023
      • HNW clients · 86 to 13
        Apr 28, 2022 to Mar 28, 2023
      • Employees · 14 to 5
        Apr 28, 2022 to Mar 28, 2023
      • Discretionary RAUM · $8.7M to $6.2M
        Apr 28, 2022 to Mar 28, 2023
      • HNW RAUM · $25.7M to $4.1M
        Apr 28, 2022 to Mar 28, 2023
      • Non-discretionary RAUM · $20.1M to $0
        Apr 28, 2022 to Mar 28, 2023
      • RAUM · $28.8M to $6.2M
        Apr 28, 2022 to Mar 28, 2023
      • Wrap assets (manager) · $28.8M to $6.2M
        Apr 28, 2022 to Mar 28, 2023
      • Wrap assets (sponsor) · $28.8M to $0
        Apr 28, 2022 to Mar 28, 2023
      • Accounts · 82 to 92
        Apr 5, 2021 to Mar 28, 2022
      • Corporate clients · unset to 6.0
        Apr 5, 2021 to Mar 28, 2022
      • HNW clients · 24 to 86
        Apr 5, 2021 to Mar 28, 2022
      • Individual clients · 55.0 to unset
        Apr 5, 2021 to Mar 28, 2022
      • State-registered IARs · 0 to 4
        Apr 5, 2021 to Mar 28, 2022
      • Discretionary RAUM · $12.5M to $8.7M
        Apr 5, 2021 to Mar 28, 2022
      • HNW RAUM · $8.5M to $25.7M
        Apr 5, 2021 to Mar 28, 2022
      • Individual RAUM · 19500000.0 to unset
        Apr 5, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $16.4M to $20.1M
        Apr 5, 2021 to Mar 28, 2022
      • Pension RAUM · 400000.0 to unset
        Apr 5, 2021 to Mar 28, 2022
      • RAUM · $28.9M to $28.8M
        Apr 5, 2021 to Mar 28, 2022
      • Wrap assets (manager) · $12.5M to $28.8M
        Apr 5, 2021 to Mar 28, 2022
      • Wrap assets (sponsor) · $12.5M to $28.8M
        Apr 5, 2021 to Mar 28, 2022
      • Accounts · 84 to 82
        Jan 12, 2021 to Mar 26, 2021
      • HNW clients · 23 to 24
        Jan 12, 2021 to Mar 26, 2021
      • Discretionary RAUM · $14.5M to $12.5M
        Jan 12, 2021 to Mar 26, 2021
      Signals
      4 dated events
      • Anthony Joseph Giorgio (Chief Compliance Officer) no longer on Schedule A of T•••••• F•••••••• P••••••• L•• (listed 2023-06-30, absent 2023-10-05)
        Oct 5, 2023 · Control person left · inference
      • Kris Taylor (Chief Compliance Officer) no longer on Schedule A of T•••••• F•••••••• P••••••• L•• (listed 2022-03-28, absent 2022-04-28)
        Apr 28, 2022 · Control person left · inference
      • Anthony Joseph Giorgio (Chief Compliance Officer) appeared on Schedule A of T•••••• F•••••••• P••••••• L••
        Apr 28, 2022 · Control person joined · fact
      • T•••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 11, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      T••••••FI.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $2.7Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      T•••••• F•••••••• P••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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