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•••••••• A•••••••• L•••

Former SEC-registered adviserFairfield, ConnecticutCRD 157070SEC 801-73286IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 10, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$28.5M as of Mar 30, 2022
Mar 26, 2013$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Mar 26, 20130 then
Employees (5.A)0 as of Mar 31, 2023
Mar 26, 20135 then
Private funds8 as of Mar 30, 2022
Mar 26, 201315 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2023; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      29 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••••• M•••••• O••••••• F••• V•••• L•••no longer reportedHedge Fund$69.0M7Mar 25, 2015
      T•••••••• M•••••• O••••••• F•••• L•••no longer reportedHedge Fund$22.5M22Feb 10, 2012
      T•••••••• M•••••• O••••••• F••• V•• L•••no longer reportedHedge Fund$13.1M14Mar 26, 2013
      T•••••••• M•••••• O••••••• F••• V••• L•••no longer reportedHedge Fund$11.7M5Mar 21, 2017
      T•••••••• M•••••• O••••••• M••••• F•••• L•••no longer reportedHedge Fund$7.5M22Feb 10, 2012
      T•••••••• M•••••• F•••• L•••no longer reportedHedge Fund$6.3M152Feb 10, 2012
      T•••••••• M•••••• F••• V••••• L•••Hedge Fund$5.1M1Mar 25, 2015
      T•••••••• M•••••• F••• I•• L•••Hedge Fund$3.7M92Mar 31, 2020
      T•••••••• M•••••• O••••••• F••• I••• L•••no longer reportedHedge Fund$3.6M8Feb 10, 2012
      T•••••••• M•••••• F••• X• L•••Hedge Fund$3.4M50Mar 31, 2021
      T•••••••• M•••••• F••• I••• L•••no longer reportedHedge Fund$3.3M37Feb 10, 2012
      T•••••••• M•••••• F••• V•••• L•••Hedge Fund$2.2M41Mar 28, 2019
      T•••••••• M•••••• O••••••• M••••• F••• X• L•••Hedge Fund$2.1M13Mar 31, 2021
      T•••••••• M•••••• F••• I•• L•••no longer reportedHedge Fund$2.0M39Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• I•• L•••Hedge Fund$1.8M22Mar 31, 2020
      T•••••••• M•••••• F••• V• L•••no longer reportedHedge Fund$1.8M27Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• V••• L•••Hedge Fund$1.3M5Mar 21, 2017
      T•••••••• M•••••• O••••••• M••••• F••• I••• L•••no longer reportedHedge Fund$997,7817Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• V•• L•••no longer reportedHedge Fund$951,92713Mar 26, 2013
      T•••••••• M•••••• 1•••• O••••••••• F•••• L•••no longer reportedPrivate Equity Fund$791,56153Feb 10, 2012
      T•••••••• M•••••• F••• V•• L•••no longer reportedHedge Fund$691,08324Mar 26, 2013
      T•••••••• M•••••• F••• V••• L•••Hedge Fund$674,77745Mar 28, 2016
      T•••••••• M•••••• O••••••• F••• V• L•••no longer reportedHedge Fund$528,0656Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• V•••• L•••no longer reportedHedge Fund$474,0541Mar 25, 2015
      T•••••••• M•••••• O••••••• F••• I•• L•••no longer reportedHedge Fund$465,1646Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• V• L•••no longer reportedHedge Fund$184,7725Feb 10, 2012
      T•••••••• M•••••• 1•••• O••••••••• O••••••• F•••• L•••no longer reportedPrivate Equity Fund$112,55916Feb 10, 2012
      T•••••••• M•••••• O••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$01Feb 10, 2012
      T•••••••• M•••••• 1•••• O••••••••• O••••••• M••••• F•••• L•••no longer reportedPrivate Equity Fund$01Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• M••••••• A•••••• · Chairman, Chief Executive Officer, Chief Operating Officercontrol
        since 10/2009 · owns 50% to 75%
      • J••••• J•••••• J••••• · Limited Partner, Chief Investment Officercontrol
        since 08/2013 · owns 50% to 75%
      • S•••••• C••••••• Y•••• · Chief Compliance Officercontrol
        since 06/2017 · owns less than 5%
      • C••••••••• M••••••• A•••••• · Managercontrol
        since 10/2009 · owns 50% to 75% of T•••••••• A••••••• G•• L••
      • J••••• J•••••• J••••• · Managercontrol
        since 10/2009 · owns 50% to 75% of T•••••••• A••••••• G•• L••
      Entity owners
      • T•••••••• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list T•••••••• A•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11.0 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 11.0 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Custody of client assets · true to false
        Oct 11, 2022 to Mar 31, 2023
      • Private funds · 8 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Discretionary RAUM · 28525956.0 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · 0.0 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $28.5M to $0
        Oct 11, 2022 to Mar 31, 2023
      • RAUM · 28525956.0 to unset
        Oct 11, 2022 to Mar 31, 2023
      • Related bank · true to false
        Oct 11, 2022 to Mar 31, 2023
      • Accounts · 16 to 11
        Mar 31, 2021 to Mar 30, 2022
      • Advisory employees · 3 to 0
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 16 to 11
        Mar 31, 2021 to Mar 30, 2022
      • Employees · 4 to 0
        Mar 31, 2021 to Mar 30, 2022
      • Private funds · 13 to 8
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $198M to $28.5M
        Mar 31, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $198M to $28.5M
        Mar 31, 2021 to Mar 30, 2022
      • RAUM · $198M to $28.5M
        Mar 31, 2021 to Mar 30, 2022
      • Discretionary RAUM · $278M to $198M
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $278M to $198M
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $278M to $198M
        Mar 31, 2020 to Mar 31, 2021
      • Advisory employees · 4 to 3
        Oct 29, 2019 to Mar 31, 2020
      • Employees · 5 to 4
        Oct 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $309M to $278M
        Oct 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $309M to $278M
        Oct 29, 2019 to Mar 31, 2020
      • RAUM · $309M to $278M
        Oct 29, 2019 to Mar 31, 2020
      • Accounts · 15 to 16
        Mar 29, 2018 to Mar 28, 2019
      • Advisory employees · 3 to 4
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 15 to 16
        Mar 29, 2018 to Mar 28, 2019
      • Employees · 4 to 5
        Mar 29, 2018 to Mar 28, 2019
      • Other offices · 1 to 0
        Mar 29, 2018 to Mar 28, 2019
      • Private funds · 12 to 13
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $414M to $309M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $414M to $309M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $414M to $309M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 14 to 15
        Feb 16, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 15.0
        Feb 16, 2018 to Mar 29, 2018
      • Private funds · 18 to 12
        Feb 16, 2018 to Mar 29, 2018
      • Discretionary RAUM · $399M to $414M
        Feb 16, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $0 to $414M
        Feb 16, 2018 to Mar 29, 2018
      • RAUM · $399M to $414M
        Feb 16, 2018 to Mar 29, 2018
      Signals
      2 dated events
      • T•••••••• A•••••••• L••• reported RAUM $28.5M, down 86% from $197.9M (2021-03-31 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • T•••••••• A•••••••• L••• reported RAUM $309.0M, down 25% from $414.2M (2018-03-29 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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