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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T••••••• B••••• C•••••• M••••••••• L•••
Latest filing Nov 14, 2018
First filing on the tape Feb 8, 2012 · 15 filings
RAUM
$380M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.8%
$25.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$276M gross assets
History
15 filings and snapshots on the tape
RAUM$380M as of Mar 12, 2018
Apr 1, 2013$260M then
HNW client RAUM: $25.7M
State-registered IARs (5.B.3)0 as of Mar 12, 2018
Apr 1, 20130 then
Employees (5.A)8 as of Mar 12, 2018
Apr 1, 201310 then
Private funds2 as of Mar 12, 2018
Apr 1, 20132 then
RAUM +1.4% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 14, 2018; 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
- $54.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%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
- +1.4%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $166M, 1 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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$307M81%
- Charitable organizations$47.4M12%
- High-net-worth individuals$25.7M6.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $166M for 1 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D•••• O••••••• M•••••• L••no longer reported | Hedge Fund | $194M | 25 | Feb 8, 2012 |
| D•••• I••••••••• L•no longer reported | Hedge Fund | $184M | 28 | Feb 8, 2012 |
| D•••• O••••••• M••••• I•• L••• | Hedge Fund | $166M | 36 | Mar 25, 2015 |
| 7•• I•••••••• L•• | Private Equity Fund | $110M | 17 | Mar 25, 2015 |
| D•••• O••••••• L•no longer reported | Hedge Fund | $18.2M | 20 | Feb 8, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• A•••••• K••• · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- T•••••••• R•••• W•••• · Limited Partnercontrolsince 11/2000 · owns 50% to 75%
- T•••••••• R•••• W•••• · Managing Membercontrolsince 09/2018 · owns 75% or more of R•• 2••• L••••• L••
Entity owners
- R•• 2••• L••••• L•• · Limited Partnerdirect · owns 25% to 50%
- T••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- 7•• A••••••••• L••investment adviserpooled vehicle sponsorn
- T••••••• • C•••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 7Aug 3, 2017 to Mar 12, 2018
- Advisory employees · 8 to 7Aug 3, 2017 to Mar 12, 2018
- Pooled vehicle clients · unset to 4.0Aug 3, 2017 to Mar 12, 2018
- Assets in custody · $249M to $166MAug 3, 2017 to Mar 12, 2018
- Employees · 9 to 8Aug 3, 2017 to Mar 12, 2018
- Other offices · unset to 0.0Aug 3, 2017 to Mar 12, 2018
- Discretionary RAUM · $321M to $380MAug 3, 2017 to Mar 12, 2018
- HNW RAUM · unset to 25716330.0Aug 3, 2017 to Mar 12, 2018
- Non-discretionary RAUM · $53.3M to $0Aug 3, 2017 to Mar 12, 2018
- Pooled vehicle RAUM · unset to 306913568.0Aug 3, 2017 to Mar 12, 2018
- RAUM · $375M to $380MAug 3, 2017 to Mar 12, 2018
- Advisory employees · 11 to 8Mar 10, 2016 to Mar 10, 2017
- Assets in custody · $314M to $249MMar 10, 2016 to Mar 10, 2017
- Employees · 12 to 9Mar 10, 2016 to Mar 10, 2017
- Discretionary RAUM · $378M to $321MMar 10, 2016 to Mar 10, 2017
- Non-discretionary RAUM · $56.1M to $53.3MMar 10, 2016 to Mar 10, 2017
- RAUM · $435M to $375MMar 10, 2016 to Mar 10, 2017
- Accounts · 9 to 8Mar 25, 2015 to Mar 10, 2016
- Advisory employees · 12 to 11Mar 25, 2015 to Mar 10, 2016
- Assets in custody · $257M to $314MMar 25, 2015 to Mar 10, 2016
- Discretionary RAUM · $578M to $378MMar 25, 2015 to Mar 10, 2016
- Non-discretionary RAUM · $0 to $56.1MMar 25, 2015 to Mar 10, 2016
- RAUM · $578M to $435MMar 25, 2015 to Mar 10, 2016
- Accounts · 5 to 9Nov 5, 2014 to Mar 25, 2015
- Advisory employees · 9 to 12Nov 5, 2014 to Mar 25, 2015
- Advisory activities · 3 to 4Nov 5, 2014 to Mar 25, 2015
- Assets in custody · $202M to $257MNov 5, 2014 to Mar 25, 2015
- Employees · 11 to 12Nov 5, 2014 to Mar 25, 2015
- Discretionary RAUM · $505M to $578MNov 5, 2014 to Mar 25, 2015
- RAUM · $505M to $578MNov 5, 2014 to Mar 25, 2015
- Business name · T••••••• C•••••• M••••••••• L••• to T••••••• B••••• C•••••• M••••••••• L•••Mar 19, 2014 to Aug 14, 2014
- Legal name · T••••••• C•••••• M••••••••• L••• to T••••••• B••••• C•••••• M••••••••• L•••Mar 19, 2014 to Aug 14, 2014
- Accounts · 3 to 5Apr 1, 2013 to Mar 19, 2014
- Advisory employees · 10 to 9Apr 1, 2013 to Mar 19, 2014
- Advisory activities · 2 to 3Apr 1, 2013 to Mar 19, 2014
- Assets in custody · $197M to $202MApr 1, 2013 to Mar 19, 2014
- Employees · 10 to 11Apr 1, 2013 to Mar 19, 2014
- Discretionary RAUM · $260M to $505MApr 1, 2013 to Mar 19, 2014
- RAUM · $260M to $505MApr 1, 2013 to Mar 19, 2014
- Related adviser · false to trueApr 1, 2013 to Mar 19, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- T••••••• B••••• C•••••• 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