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•••••• P•••••••

Former SEC-registered adviserSouth Norwalk, ConnecticutCRD 157072SEC 801-73058IAPD
Legal name T••••••• C•••••• P•••••••• L••
Latest filing Mar 28, 2013
First filing on the tape Jan 13, 2012 · 5 filings
RAUM
$411M
reported, Item 5.F
Discretionary
0.0%
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
9
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$411M gross assets
History
5 filings and snapshots on the tape
RAUM$411M as of Mar 28, 2013
Jan 13, 2012$351M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 9
Private funds2 as of Mar 28, 2013
Jan 13, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 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
$205MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
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, performance-basedreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••• O••••••••• Q•••••••• F•••• L•Hedge Fund$277M35Jan 13, 2012
      T••••••• O••••••••• F•••• L•Hedge Fund$134M25Jan 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• B••••• D••••• · Managing Membercontrol
        since 03/2011 · owns 50% to 75%
      • O•••••• T••••••• F•••••• · Chief Financial Officercontrol
        since 03/2011 · owns less than 5%
      • R••••• S••••• R••• · Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      • T•••••• T•••••• C•••••• · Managing Membercontrol
        since 03/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • T••••••• I••••••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 2.0
        Jun 20, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Jun 20, 2012 to Mar 28, 2013
      • Employees · unset to 9.0
        Jun 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jun 20, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $351M to $411M
        Jun 20, 2012 to Mar 28, 2013
      • RAUM · $351M to $411M
        Jun 20, 2012 to Mar 28, 2013
      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