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•• P•••••• G••••• L••

Former SEC-registered adviserDarien, ConnecticutCRD 156727SEC 801-74156IAPD
Latest filing Apr 1, 2013
First filing on the tape Feb 14, 2012 · 3 filings
RAUM
$105M
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
10
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$105M gross assets
History
3 filings and snapshots on the tape
RAUM$105M as of Apr 1, 2013
Feb 14, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Nov 16, 20120 then
Employees (5.A)10 as of Apr 1, 2013
Nov 16, 20128 then
Private funds4 as of Apr 1, 2013
Feb 14, 20125 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$21.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 vehiclesreportedItem 5.G
Custody
$105M, 5 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$105M for 5 clientsreported
Compensation
% of AUM, fixed, 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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•• D••••••• C••••• F•••• L••Hedge Fund$20.9M1Feb 14, 2012
      P•• R••••• F•••• L••no longer reportedHedge Fund$450,0000Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• J•••• •••• · Chief Financial Officer, Membercontrol
        since 01/2008 · owns 5% to 10%
      • H•••• J••••••• M• •• O•••• · Chief Compliance Officer And Chief Operations Officercontrol
        since 04/2011 · owns less than 5%
      • H•••• J•••• C••••••••• · Chief Executive Officer, Membercontrol
        since 05/2000 · owns 25% to 50%
      • D••••••• R•••••• A••• · Member
        since 06/2000 · owns 10% to 25%
      • K•••• J•••••••• T••••• · Member
        since 05/2004 · owns 5% to 10%
      • T•••••• J•••••• •••• · Member
        since 06/2005 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • P•••••• I••••••••• M••••••••• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Nov 16, 2012 to Apr 1, 2013
      • Advisory employees · 8 to 10
        Nov 16, 2012 to Apr 1, 2013
      • Assets in custody · $42.3M to $105M
        Nov 16, 2012 to Apr 1, 2013
      • Employees · 8 to 10
        Nov 16, 2012 to Apr 1, 2013
      • Discretionary RAUM · $113M to $105M
        Nov 16, 2012 to Apr 1, 2013
      • RAUM · $113M to $105M
        Nov 16, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Feb 14, 2012 to Nov 16, 2012
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Nov 16, 2012
      • Assets in custody · $64.8M to $42.3M
        Feb 14, 2012 to Nov 16, 2012
      • Employees · unset to 8.0
        Feb 14, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Nov 16, 2012
      • Private funds · 5 to 4
        Feb 14, 2012 to Nov 16, 2012
      • Discretionary RAUM · $144M to $113M
        Feb 14, 2012 to Nov 16, 2012
      • RAUM · $144M to $113M
        Feb 14, 2012 to Nov 16, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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