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•••••• B••••• I•••
Latest filing Mar 28, 2024
First filing on the tape Feb 14, 2012 · 14 filings
SEC status approved since Mar 29, 2012
RAUM
$4.8M
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$4.8M gross assets
History
14 filings and snapshots on the tape
RAUM$4.8M as of Mar 28, 2024
Mar 27, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 27, 20130 then
Employees (5.A)7 as of Mar 28, 2024
Mar 27, 201347 then
Private funds2 as of Mar 28, 2024
Mar 27, 20135 then
RAUM -3.2% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
- $2.4MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.2%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
- otherreportedItem 5.G
- Custody
- $4.8M, 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)
- 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$4.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• C•••••• F••• V•••• L•••no longer reported | Private Equity Fund | $14.6M | 68 | Feb 14, 2012 |
| T•••• C•••••• F••• V•• L•••no longer reported | Private Equity Fund | $5.6M | 57 | Feb 14, 2012 |
| T•••• C•••••• F••• V••• L••• | Private Equity Fund | $4.7M | 45 | Feb 14, 2012 |
| T•••• C•••••• F•••••• F••• V•• L•••no longer reported | Private Equity Fund | $300,000 | 27 | Feb 14, 2012 |
| T•••• C•••••• F•••••• F••• V••• L••• | Private Equity Fund | $117,036 | 41 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• O••••••• N•• · Managing Partner / Directorcontrolsince 06/2006 · owns less than 5%
- C••••••• B••••• C•••••• · Managing Partner / Directorcontrolsince 06/2006 · owns less than 5%
- M•••••••• L••• M••• · Vice President / Secretary / Chief Compliance Officercontrolsince 06/2006 · owns less than 5%
- T••••• C•••• D•• · Managing Partner / Director / President / Sole Shareholdercontrolsince 12/1997 · owns 75% or more
- B••••••• K••••••••• E•••••••• · Chief Financial Officersince 10/2008 · owns less than 5%
- C••••••• S•••••• S•••• · Partnersince 06/2006 · owns less than 5%
- E•••••• P••••• S•••• · Partnersince 06/2006 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• • C•••••• L•investment advisernRAUM $3.6B
- T• P••••••• V••• L•pooled vehicle sponsorn
- T•••• B••••investment advisernRAUM $183B
Advisers that list T•••• C•••••• B••••• I••• as a related person
- 157041 n
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA44 employees
What changed
consecutive filings, newest first
- Assets in custody · $5.0M to $4.8MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $5.0M to $4.8MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $5.0M to $4.8MMar 31, 2023 to Mar 28, 2024
- RAUM · $5.0M to $4.8MMar 31, 2023 to Mar 28, 2024
- Advisory employees · 71 to 4Jan 25, 2023 to Mar 31, 2023
- BD registered reps · 14 to 0Jan 25, 2023 to Mar 31, 2023
- Assets in custody · $5.2M to $5.0MJan 25, 2023 to Mar 31, 2023
- Employees · 174 to 7Jan 25, 2023 to Mar 31, 2023
- Discretionary RAUM · $5.2M to $5.0MJan 25, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $5.2M to $5.0MJan 25, 2023 to Mar 31, 2023
- RAUM · $5.2M to $5.0MJan 25, 2023 to Mar 31, 2023
- Related broker-dealer · false to trueJan 25, 2023 to Mar 31, 2023
- Advisory employees · 57 to 71Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 0 to 14Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $5.5M to $5.2MMar 31, 2021 to Mar 31, 2022
- Employees · 120 to 174Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.5M to $5.2MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $5.5M to $5.2MMar 31, 2021 to Mar 31, 2022
- RAUM · $5.5M to $5.2MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 50 to 57Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $5.7M to $5.5MMar 30, 2020 to Mar 31, 2021
- Employees · 100 to 120Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $5.7M to $5.5MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $5.7M to $5.5MMar 30, 2020 to Mar 31, 2021
- RAUM · $5.7M to $5.5MMar 30, 2020 to Mar 31, 2021
- Accounts · 3 to 2Mar 31, 2019 to Mar 30, 2020
- Advisory employees · 40 to 50Mar 31, 2019 to Mar 30, 2020
- Pooled vehicle clients · 3 to 2Mar 31, 2019 to Mar 30, 2020
- Assets in custody · $20.4M to $5.7MMar 31, 2019 to Mar 30, 2020
- Employees · 75 to 100Mar 31, 2019 to Mar 30, 2020
- Private funds · 3 to 2Mar 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $20.4M to $5.7MMar 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $20.4M to $5.7MMar 31, 2019 to Mar 30, 2020
- RAUM · $20.4M to $5.7MMar 31, 2019 to Mar 30, 2020
- Assets in custody · $40.5M to $20.4MMar 30, 2018 to Mar 31, 2019
- Employees · 70 to 75Mar 30, 2018 to Mar 31, 2019
- Discretionary RAUM · $40.5M to $20.4MMar 30, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $40.5M to $20.4MMar 30, 2018 to Mar 31, 2019
- RAUM · $40.5M to $20.4MMar 30, 2018 to Mar 31, 2019
- Advisory employees · 60 to 40Mar 28, 2017 to Mar 30, 2018
Signals
1 dated events
- T•••• C•••••• B••••• I••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $4.8M)Feb 3, 2025 · Left the SEC roster · derived
Across DFX
shared identifiers only, never a name match
- T•••• C•••••• B••••• I••• · 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