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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SEC-registered adviser
T•• I• C•••••• A•••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 21, 2012
RAUM
$545M
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
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$545M as of Mar 4, 2026
Mar 7, 2013$358M then
HNW client RAUM$0 as of Mar 4, 2026
Feb 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 4, 2026
Mar 7, 20130 then
Employees (5.A)7 as of Mar 4, 2026
Mar 7, 20136 then
Private funds9 as of Mar 4, 2026
Mar 7, 20133 then
RAUM +22% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2026; 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
- $60.5MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%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
- $25.7M, 1 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$545M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• L••• | Hedge Fund | $248M | 164 | Mar 23, 2020 |
| T•• I•• L••• | Hedge Fund | $165M | 66 | Feb 13, 2012 |
| T•• I• O•••••••• S•• | Hedge Fund | $27.6M | 8 | Feb 13, 2012 |
| T•• I• D•••••••• L••• | Hedge Fund | $12.5M | 19 | Feb 13, 2012 |
| T•••• L• | Hedge Fund | $9.4M | 8 | Mar 30, 2023 |
| T••• C••••••••• I• L•• | Hedge Fund | $6.3M | 32 | Mar 22, 2022 |
| T••• V• 1• L•• | Hedge Fund | $1.9M | 9 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• L••••••••• H••••••• · Chairmancontrolsince 01/2021 · owns 75% or more
- F•••• C••••••••• J•••• · Chief Operating Officer/Chief Compliance Officercontrolsince 10/2011 · owns less than 5%
- F••••••• M••••• L••• · Chief Financial Officercontrolsince 10/2011 · owns less than 5%
- N••••• K••••••••• C••••••• · President/Portfolio Managercontrolsince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- T••• G•• L••pooled vehicle sponsorn
- T••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Charleston, SC3 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 9Feb 28, 2025 to Mar 4, 2026
- Advisory employees · 8 to 7Feb 28, 2025 to Mar 4, 2026
- Pooled vehicle clients · 8 to 9Feb 28, 2025 to Mar 4, 2026
- Assets in custody · $28.4M to $25.7MFeb 28, 2025 to Mar 4, 2026
- Employees · 8 to 7Feb 28, 2025 to Mar 4, 2026
- Private funds · 8 to 9Feb 28, 2025 to Mar 4, 2026
- Discretionary RAUM · $447M to $545MFeb 28, 2025 to Mar 4, 2026
- Pooled vehicle RAUM · $447M to $545MFeb 28, 2025 to Mar 4, 2026
- RAUM · $447M to $545MFeb 28, 2025 to Mar 4, 2026
- Accounts · 7 to 8Sep 3, 2024 to Feb 28, 2025
- Pooled vehicle clients · 7 to 8Sep 3, 2024 to Feb 28, 2025
- Assets in custody · $27.6M to $28.4MSep 3, 2024 to Feb 28, 2025
- Financial planning clients · unset to Sep 3, 2024 to Feb 28, 2025
- Private funds · 7 to 8Sep 3, 2024 to Feb 28, 2025
- Discretionary RAUM · $431M to $447MSep 3, 2024 to Feb 28, 2025
- Pooled vehicle RAUM · $431M to $447MSep 3, 2024 to Feb 28, 2025
- RAUM · $431M to $447MSep 3, 2024 to Feb 28, 2025
- Pooled vehicle clients · 5 to 7Mar 30, 2023 to Mar 21, 2024
- Assets in custody · $26.7M to $27.6MMar 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $438M to $431MMar 30, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $438M to $431MMar 30, 2023 to Mar 21, 2024
- RAUM · $438M to $431MMar 30, 2023 to Mar 21, 2024
- Accounts · 5 to 7Mar 22, 2022 to Mar 30, 2023
- Advisory employees · 7 to 8Mar 22, 2022 to Mar 30, 2023
- Assets in custody · $46.4M to $26.7MMar 22, 2022 to Mar 30, 2023
- Employees · 7 to 8Mar 22, 2022 to Mar 30, 2023
- Private funds · 5 to 7Mar 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $552M to $438MMar 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $552M to $438MMar 22, 2022 to Mar 30, 2023
- RAUM · $552M to $438MMar 22, 2022 to Mar 30, 2023
- RAUM · $428M to $552MNov 5, 2021 to Mar 22, 2022
- Accounts · 4 to 5Nov 5, 2021 to Mar 22, 2022
- Advisory employees · 6 to 7Nov 5, 2021 to Mar 22, 2022
- Pooled vehicle clients · 4 to 5Nov 5, 2021 to Mar 22, 2022
- Assets in custody · $40.6M to $46.4MNov 5, 2021 to Mar 22, 2022
- Employees · 6 to 7Nov 5, 2021 to Mar 22, 2022
- Other offices · 0 to 1Nov 5, 2021 to Mar 22, 2022
- Private funds · 4 to 5Nov 5, 2021 to Mar 22, 2022
- Discretionary RAUM · $428M to $552MNov 5, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $428M to $552MNov 5, 2021 to Mar 22, 2022
Signals
2 dated events
- T•• I• C•••••• A•••••••• L•• reported RAUM $552.0M, up 29% from $427.5M (2021-11-05 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- T•• I• C•••••• A•••••••• L•• reported RAUM $427.5M, up 60% from $267.9M (2020-03-23 to 2021-03-08)Mar 8, 2021 · 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
- tswii.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 423-267-1430reportedpublic record, Form ADV, Mar 4, 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
- Asset manager (funds and pooled vehicles)deriveda 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