DFX Intelligence
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T•••• M••••• A•••• M••••••••• ••••• L•••
Asset manager (funds and pooled vehicles)SEC-registered· New York, New York
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $1.2B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.2B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -31%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $1.7BRAUM now $1.2B
- discretionary share of RAUM 1
- Contact points 1
Every filed figure, and the identifiersCRD 158632 · SEC 801-73271 · 29 filingsShowHide
CRD 158632SEC 801-73271First filing on the tape Feb 10, 2012, latest Apr 13, 2026SEC status approved since Mar 23, 2012IAPD
RAUM
$1.2B
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
16
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.2B as of Apr 13, 2026
Mar 13, 2013$221M then
HNW client RAUM$0 as of Apr 13, 2026
Feb 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 13, 2026
Mar 13, 20130 then
Employees (5.A)16 as of Apr 13, 2026
Mar 13, 20139 then
Private funds: no history
RAUM -31% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 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
- $134MderivedRAUM 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
- -31%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- 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
- noreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• K•••••••• •••• · Directorcontrolsince 06/2024 · owns less than 5%
- I•••••••• T•••••• •••• · Directorcontrolsince 06/2024 · owns less than 5%
- S•••••• T•••••• N•• · Director, Chief Executive Officer, And Chief Investment Officercontrolsince 01/2022 · owns less than 5%
- T•••••• S•••••• · Vice President, Chief Operating Officer And Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
Entity owners
- T•••• M••••• A•••• M••••••••• C••• L••• · Shareholderdirect · owns 75% or more
- T•••• M••••• H•••••••• I••• · Shareholderindirect · owns 75% or more of T•••• M••••• A•••• M••••••••• C••• L•••
Related persons
Schedule D 7.A
- T•••• M••••• A•••• M••••••••• ••••••• L•••investment advisern
- T•••• M••••• A•••• M••••••••• C••• L•••investment advisery
- T•••• M••••• A•••• M••••••••• I••••••••• P••• L•••investment advisern
- T•••• M••••• M••••••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 13, 2026discretionary share of RAUM moved from 45.0% to 100.0% between the annual amendments of 2025-03-07 and 2026-04-13peers: asset managers, $1B to $5B (1,505)
- RAUM down 25 %Change between filings · filing Apr 13, 2026RAUM (Item 5.F) moved from $1,743,669,445 to $1,210,110,140 (-31.0%) between the annual amendments of 2025-03-07 and 2026-04-13; the peer median change was +11.0% (1367 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,367) · 2.9% percentile
What changed
consecutive filings, newest first
- Advisory employees · 12 to 14Mar 7, 2025 to Mar 23, 2026
- Employees · 14 to 16Mar 7, 2025 to Mar 23, 2026
- Discretionary RAUM · $791M to $1.2BMar 7, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $952M to $0Mar 7, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $1.7B to $1.2BMar 7, 2025 to Mar 23, 2026
- RAUM · $1.7B to $1.2BMar 7, 2025 to Mar 23, 2026
- Accounts · 7 to 9Jul 2, 2024 to Mar 7, 2025
- Advisory employees · 11 to 12Jul 2, 2024 to Mar 7, 2025
- Financial planning clients · unset to Jul 2, 2024 to Mar 7, 2025
- Discretionary RAUM · $1.1B to $791MJul 2, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $649M to $952MJul 2, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · $1.8B to $1.7BJul 2, 2024 to Mar 7, 2025
- RAUM · $1.8B to $1.7BJul 2, 2024 to Mar 7, 2025
- Accounts · 6 to 7Apr 11, 2023 to Mar 26, 2024
- Employees · 13 to 14Apr 11, 2023 to Mar 26, 2024
- Discretionary RAUM · $623M to $1.1BApr 11, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $762M to $649MApr 11, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.4B to $1.8BApr 11, 2023 to Mar 26, 2024
- RAUM · $1.4B to $1.8BApr 11, 2023 to Mar 26, 2024
- Advisory employees · 8 to 11Feb 22, 2022 to Feb 22, 2023
- Employees · 10 to 13Feb 22, 2022 to Feb 22, 2023
- Discretionary RAUM · $708M to $623MFeb 22, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $945M to $762MFeb 22, 2022 to Feb 22, 2023
- Pooled vehicle RAUM · $1.7B to $1.4BFeb 22, 2022 to Feb 22, 2023
- RAUM · $1.7B to $1.4BFeb 22, 2022 to Feb 22, 2023
- Accounts · 9 to 6Jan 4, 2022 to Feb 22, 2022
- Discretionary RAUM · $734M to $708MJan 4, 2022 to Feb 22, 2022
- Non-discretionary RAUM · $1.1B to $945MJan 4, 2022 to Feb 22, 2022
- Pooled vehicle RAUM · $1.8B to $1.7BJan 4, 2022 to Feb 22, 2022
- RAUM · $1.8B to $1.7BJan 4, 2022 to Feb 22, 2022
- Advisory employees · 9 to 8Mar 8, 2021 to Jan 4, 2022
- Employees · 11 to 10Mar 8, 2021 to Jan 4, 2022
- Accounts · 7 to 9Jul 1, 2020 to Mar 8, 2021
- Employees · 12 to 11Jul 1, 2020 to Mar 8, 2021
- Discretionary RAUM · $1.7B to $734MJul 1, 2020 to Mar 8, 2021
- Non-discretionary RAUM · $0 to $1.1BJul 1, 2020 to Mar 8, 2021
- Pooled vehicle RAUM · $1.7B to $1.8BJul 1, 2020 to Mar 8, 2021
- RAUM · $1.7B to $1.8BJul 1, 2020 to Mar 8, 2021
- Accounts · 6 to 7Mar 25, 2019 to Mar 10, 2020
- Advisory employees · 6 to 9Mar 25, 2019 to Mar 10, 2020
Signals
13 dated events
- ••• LockedMar 23, 2026 · RAUM change · derived
- ••• LockedJul 2, 2024 · Control person left · inference
- ••• LockedJul 2, 2024 · Control person left · inference
- ••• LockedJul 2, 2024 · Control person joined · fact
- ••• LockedJul 2, 2024 · Control person joined · fact
- ••• LockedMar 26, 2024 · RAUM change · derived
- ••• LockedJan 4, 2022 · Control person left · inference
- ••• LockedJan 4, 2022 · Control person joined · fact
- ••• LockedJul 1, 2020 · Control person left · inference
- ••• LockedJul 1, 2020 · Control person joined · fact
- ••• LockedApr 1, 2020 · Control person left · inference
- ••• LockedMar 10, 2020 · Control person joined · fact
- ••• LockedMar 10, 2020 · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 13, 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