DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T•••• A••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser4 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $2.6B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$2.6B
Form ADV
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 157497 · SEC 801-74001 · 3 filingsShow
CRD 157497SEC 801-74001First filing on the tape Feb 14, 2012, latest May 29, 2012IAPD
RAUM
$2.6B
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
Not computed
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$2.6B gross assets
History
3 filings and snapshots on the tape
RAUM$2.6B as of May 29, 2012
Feb 14, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds4 as of May 29, 2012
Feb 14, 20125 then
Practice profile
derived from the filing of May 29, 2012; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$528MderivedRAUM 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
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
Custody
$2.2B, 4 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)
  • an independent public accountant performs a surprise examination (9.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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.2B for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• A••• O••••••• F•••• L•••Hedge Fund$1.3B25Feb 14, 2012
      T•••• A••• F•••• L•••Hedge Fund$1.1B103Feb 14, 2012
      T•••• A••• F••• O• F••••• L•••Hedge Fund$27.9M4Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• P••••••• T••••• · Chief Financial Officercontrol
        since 01/2006 · owns less than 5%
      • H••••• S••••••• · Managing Membercontrol
        since 11/2001 · owns 75% or more
      • K•• C••••• H••• · Chief Operating Officercontrol
        since 06/2008 · owns less than 5%
      • S•••••• M••••••• D•••• · Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••• A••• P•••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 5 to 4
        Feb 14, 2012 to Apr 26, 2012
      • Discretionary RAUM · $2.1B to $2.6B
        Feb 14, 2012 to Apr 26, 2012
      • RAUM · $2.1B to $2.6B
        Feb 14, 2012 to Apr 26, 2012
      • Assets in custody · $1.8B to $2.2B
        Feb 14, 2012 to Apr 26, 2012
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026