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T••• B•••••• A•••• M••••••••• L•

Former SEC-registered adviserFormer SEC adviser2 private funds· San Francisco, California

Former SEC-registered adviser, based in San Francisco, California, reporting $82.2M of regulatory assets.

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

Last reported RAUM
$82.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-63%
Form ADV, consecutive annual filings
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
Why this matters
Every filed figure, and the identifiersCRD 159527 · SEC 801-74237 · 5 filingsShow
CRD 159527SEC 801-74237First filing on the tape Feb 15, 2012, latest Mar 30, 2016IAPD
RAUM
$82.2M
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
2
$82.2M gross assets
History
5 filings and snapshots on the tape
RAUM$82.2M as of Mar 30, 2016
Mar 28, 2013$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)2 as of Mar 30, 2016
Mar 28, 20132 then
Private funds2 as of Mar 30, 2016
Mar 28, 20132 then
RAUM -63% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$41.1MderivedRAUM 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
-63%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 vehiclesreportedItem 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
  • 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)
  • 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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••••• P•••• L•Hedge Fund$66.6M6Feb 15, 2012
      W••• R••• F••• L••Hedge Fund$15.6M6Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• K•••••• · Managing Membercontrol
        since 11/2004 · owns 25% to 50%
      • W•••• A••••••••• M••••••• · Managing Membercontrol
        since 11/2004 · owns 25% to 50%
      • H•••••• K•••••• · Managing Membercontrol
        since 11/2004 · owns 50% to 75% of T••• B•••••• H••••••• L••
      • W•••• A••••••••• M••••••• · Managing Membercontrol
        since 11/2004 · owns 50% to 75% of T••• B•••••• H••••••• L••
      • A••••••••• J•••••• N••• · Chief Compliance Officer
        since 11/2011 · owns less than 5%
      Entity owners
      • T••• B•••••• H••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · 125979492.0 to unset
        Mar 30, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $223M to $82.2M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $223M to $82.2M
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · $131M to $126M
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $241M to $223M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $241M to $223M
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $120M to $131M
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $218M to $241M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $218M to $241M
        Mar 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 2.0
        Feb 15, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 15, 2012 to Mar 28, 2013
      • Assets in custody · $76.1M to $120M
        Feb 15, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        Feb 15, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Mar 28, 2013
      • Discretionary RAUM · $156M to $218M
        Feb 15, 2012 to Mar 28, 2013
      • RAUM · $156M to $218M
        Feb 15, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • ••• Locked
        Apr 5, 2016 · ria registration change · fact
      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