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••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156764SEC 801-74253websiteIAPD
Latest filing Mar 29, 2024
First filing on the tape Feb 15, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$205M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$205M gross assets
History
20 filings and snapshots on the tape
RAUM$205M as of Mar 29, 2024
Mar 27, 2013$492M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 27, 20130 then
Employees (5.A)4 as of Mar 29, 2024
Mar 27, 20137 then
Private funds1 as of Mar 29, 2024
Mar 27, 20131 then
RAUM +48% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$68.5MderivedRAUM 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
+48%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 pooled vehiclesreportedItem 5.G
Custody
$205M, 3 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$205M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$205M for 3 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• M••••• F•••• L•••Hedge Fund$205M24Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• T•••••• G•• · Managing Membercontrol
        since 07/2008 · owns 75% or more
      • A•••••••• M••••••• J••••• · Chief Compliance Officer
        since 08/2022 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••••• P•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $139M to $205M
        Jun 5, 2023 to Mar 29, 2024
      • Discretionary RAUM · $139M to $205M
        Jun 5, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $139M to $205M
        Jun 5, 2023 to Mar 29, 2024
      • RAUM · $139M to $205M
        Jun 5, 2023 to Mar 29, 2024
      • Assets in custody · $195M to $139M
        Sep 8, 2022 to Mar 31, 2023
      • Discretionary RAUM · $195M to $139M
        Sep 8, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $195M to $139M
        Sep 8, 2022 to Mar 31, 2023
      • RAUM · $195M to $139M
        Sep 8, 2022 to Mar 31, 2023
      • Assets in custody · $186M to $195M
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $186M to $195M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $186M to $195M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $186M to $195M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · $331M to $186M
        Mar 26, 2020 to Mar 31, 2021
      • Discretionary RAUM · $331M to $186M
        Mar 26, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $331M to $186M
        Mar 26, 2020 to Mar 31, 2021
      • RAUM · $331M to $186M
        Mar 26, 2020 to Mar 31, 2021
      • Accounts · 4 to 3
        Dec 9, 2019 to Mar 26, 2020
      • Advisory employees · 4 to 3
        Dec 9, 2019 to Mar 26, 2020
      • Pooled vehicle clients · 4 to 3
        Dec 9, 2019 to Mar 26, 2020
      • Assets in custody · $365M to $331M
        Dec 9, 2019 to Mar 26, 2020
      • Employees · 7 to 4
        Dec 9, 2019 to Mar 26, 2020
      • Discretionary RAUM · $371M to $331M
        Dec 9, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $371M to $331M
        Dec 9, 2019 to Mar 26, 2020
      • RAUM · $371M to $331M
        Dec 9, 2019 to Mar 26, 2020
      • Accounts · 3 to 4
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 3 to 4
        Mar 28, 2018 to Mar 28, 2019
      • Assets in custody · $494M to $365M
        Mar 28, 2018 to Mar 28, 2019
      • Employees · 8 to 7
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $494M to $371M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $494M to $371M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $494M to $371M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2017 to Mar 28, 2018
      • Assets in custody · $393M to $494M
        Mar 28, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $393M to $494M
        Mar 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 493638314.0
        Mar 28, 2017 to Mar 28, 2018
      • RAUM · $393M to $494M
        Mar 28, 2017 to Mar 28, 2018
      • Assets in custody · $407M to $393M
        Mar 30, 2016 to Mar 28, 2017
      • Discretionary RAUM · $407M to $393M
        Mar 30, 2016 to Mar 28, 2017
      • RAUM · $407M to $393M
        Mar 30, 2016 to Mar 28, 2017
      Signals
      3 dated events
      • T••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $205.4M)
        May 2, 2025 · Left the SEC roster · derived
      • T••••• C•••••• M••••••••• L•• reported RAUM $185.7M, down 44% from $330.9M (2020-03-26 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • T••••• C•••••• M••••••••• L•• reported RAUM $493.6M, up 26% from $393.2M (2017-03-28 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      T•••••.COMreportedpublic record, Form ADV, Sep 19, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026