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•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 14, 2012 · 29 filings
SEC status approved since Mar 27, 2012
RAUM
$318M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$318M as of Mar 30, 2026
Apr 3, 2013$132M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 3, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Apr 3, 20136 then
Private funds4 as of Mar 30, 2026
Apr 3, 20134 then
RAUM -22% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $79.4MderivedRAUM 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
- -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
- yesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$318M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• O••••••••• V• L• | Private Equity Fund | $191M | 31 | Mar 30, 2016 |
| T••••• C•••••• E••••• F••• I•• L• | Private Equity Fund | $103M | 13 | Mar 30, 2018 |
| P••••• T••••• L•••no longer reported | Hedge Fund | $33.9M | 6 | Feb 14, 2012 |
| T•• S••••••• L• | Private Equity Fund | $24.6M | 3 | Mar 31, 2021 |
| T••••• C•••••• E••••• F••• I• U•• L• | Private Equity Fund | $22.8M | 1 | Mar 30, 2018 |
| T••••• O••••••••• I••• L•no longer reported | Private Equity Fund | $1.2M | 47 | Mar 21, 2014 |
| T••••• M••••• F•••• L•••no longer reported | Hedge Fund | $1.0M | 3 | Feb 14, 2012 |
| T••••• I••••••••• F•••• L•••no longer reported | Hedge Fund | $56,000 | 6 | Feb 14, 2012 |
| T••••• F•••• L•no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
| T••••• R••• A•••• M••••• F••• L•••no longer reported | Hedge Fund | $0 | 0 | Nov 9, 2015 |
| T••••• O••••••••• I•• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 31, 2015 |
| T••••• O••••••••• I•• L•no longer reported | Private Equity Fund | $0 | 0 | Sep 4, 2013 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• A•••••• R••••• · Member, Senior Managing Directorcontrolsince 03/2010 · owns 25% to 50%
- O•••••• S•••••• M••• · Chief Financial Officer / Chief Compliance Officercontrolsince 07/2014 · owns less than 5%
- Z•••••• D••••• M••••• · Managing Member, Chief Investment Officercontrolsince 03/2010 · owns 50% to 75%
Related persons
Schedule D 7.A
- T••••• C•••••• E••••• G• I• U•• L••pooled vehicle sponsorn
- T••••• C•••••• E••••• G• I•• L••pooled vehicle sponsorn
- T••••• O••••••••• V• G•• L••pooled vehicle sponsorn
- T•• S•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2May 20, 2025 to Mar 30, 2026
- Employees · 4 to 3May 20, 2025 to Mar 30, 2026
- Discretionary RAUM · $408M to $318MMay 20, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $408M to $318MMay 20, 2025 to Mar 30, 2026
- RAUM · $408M to $318MMay 20, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 20, 2025
- Discretionary RAUM · $428M to $408MMay 14, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $428M to $408MMay 14, 2024 to Mar 28, 2025
- RAUM · $428M to $408MMay 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $602M to $428MMay 26, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $602M to $428MMay 26, 2023 to Mar 28, 2024
- RAUM · $602M to $428MMay 26, 2023 to Mar 28, 2024
- Private funds · 5 to 4Jun 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $466M to $602MJun 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $466M to $602MJun 29, 2022 to Mar 30, 2023
- RAUM · $466M to $602MJun 29, 2022 to Mar 30, 2023
- Advisory employees · 4 to 3Sep 2, 2021 to Mar 31, 2022
- Accounts · 6 to 4Sep 2, 2021 to Mar 31, 2022
- Pooled vehicle clients · 6 to 4Sep 2, 2021 to Mar 31, 2022
- Employees · 6 to 4Sep 2, 2021 to Mar 31, 2022
- Other offices · 1 to 0Sep 2, 2021 to Mar 31, 2022
- Private funds · 6 to 5Sep 2, 2021 to Mar 31, 2022
- Discretionary RAUM · $374M to $466MSep 2, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $374M to $466MSep 2, 2021 to Mar 31, 2022
- RAUM · $374M to $466MSep 2, 2021 to Mar 31, 2022
- Accounts · 5 to 6May 19, 2020 to Mar 31, 2021
- Advisory employees · 5 to 4May 19, 2020 to Mar 31, 2021
- Charity clients · unset to 0.0May 19, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0May 19, 2020 to Mar 31, 2021
- HNW clients · unset to 0.0May 19, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0May 19, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0May 19, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 6May 19, 2020 to Mar 31, 2021
- Employees · 7 to 6May 19, 2020 to Mar 31, 2021
- Private funds · 5 to 6May 19, 2020 to Mar 31, 2021
- Discretionary RAUM · $377M to $374MMay 19, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $377M to $374MMay 19, 2020 to Mar 31, 2021
- RAUM · $377M to $374MMay 19, 2020 to Mar 31, 2021
- Discretionary RAUM · $486M to $377MJun 20, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $486M to $377MJun 20, 2019 to Mar 30, 2020
Signals
3 dated events
- T••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $317.6M)Aug 3, 2026 · Left the SEC roster · derived
- T••••• C•••••• M••••••••• L•• reported RAUM $428.5M, down 29% from $601.6M (2023-05-26 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- T••••• C•••••• M••••••••• L•• reported RAUM $601.6M, up 29% from $465.5M (2022-06-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- T••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
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