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••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 158209SEC 801-74105IAPD
Latest filing May 15, 2015
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$9.1M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$10.1M gross assets
History
7 filings and snapshots on the tape
RAUM$155M as of Mar 31, 2015
Mar 27, 2013$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 27, 20130 then
Employees (5.A)4 as of Mar 31, 2015
Mar 27, 20136 then
Private funds6 as of Mar 31, 2015
Mar 27, 20135 then
RAUM -95% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 15, 2015; 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
$3.0MderivedRAUM 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
-14%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
$9.1M, 6 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
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.1M for 6 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
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••••• F•••• L•••Hedge Fund$6.7M11Feb 14, 2012
      T• I• O•••••••• L•••Hedge Fund$1.8M4Feb 14, 2012
      T• I• O•••••••• L••••••Hedge Fund$988,0017Mar 31, 2015
      M••• S•••• F•••• L•Hedge Fund$575,2504Feb 14, 2012
      M••• S•••• M••••• F•••• L••••••Hedge Fund$04Feb 14, 2012
      M••• S•••• F•••• L••••••Hedge Fund$04Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• T•••••• P••• · Managing Member (General Partner)control
        since 10/2001 · owns 50% to 75%
      • S••••• M••••••• W•••••• · Managing Member, Cco, Ceo & Cfocontrol
        since 10/2001 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • T••••••••• P•••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 31, 2015 to May 15, 2015
      • Assets in custody · $155M to $9.1M
        Mar 31, 2015 to May 15, 2015
      • Employees · 4 to 2
        Mar 31, 2015 to May 15, 2015
      • Discretionary RAUM · $155M to $9.1M
        Mar 31, 2015 to May 15, 2015
      • RAUM · $155M to $9.1M
        Mar 31, 2015 to May 15, 2015
      • Assets in custody · $180M to $155M
        Mar 26, 2014 to Mar 31, 2015
      • Employees · 6 to 4
        Mar 26, 2014 to Mar 31, 2015
      • Private funds · 5 to 6
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $180M to $155M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $180M to $155M
        Mar 26, 2014 to Mar 31, 2015
      • Assets in custody · $167M to $180M
        Apr 23, 2013 to Mar 26, 2014
      • Discretionary RAUM · $167M to $180M
        Apr 23, 2013 to Mar 26, 2014
      • RAUM · $167M to $180M
        Apr 23, 2013 to Mar 26, 2014
      • Advisory employees · unset to 3.0
        Mar 21, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Mar 21, 2012 to Mar 27, 2013
      • Assets in custody · $345M to $167M
        Mar 21, 2012 to Mar 27, 2013
      • Employees · unset to 6.0
        Mar 21, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to Mar 27, 2013
      • Discretionary RAUM · $345M to $167M
        Mar 21, 2012 to Mar 27, 2013
      • RAUM · $345M to $167M
        Mar 21, 2012 to Mar 27, 2013
      • Business name · L••••••• G•••••• to T••••••••• M••••••••• L••
        Feb 14, 2012 to Mar 21, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026