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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SEC-registered adviser
T•••• B•••••• C••••••• L•
Latest filing Aug 6, 2026
First filing on the tape Jan 9, 2012 · 23 filings
SEC status approved since Jan 27, 2012
RAUM
$175M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$175M as of Aug 6, 2026
Mar 14, 2013$663M then
HNW client RAUM$0 as of Aug 6, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Mar 14, 20130 then
Employees (5.A)5 as of Aug 6, 2026
Mar 14, 201313 then
Private funds1 as of Aug 6, 2026
Mar 14, 20131 then
RAUM +80% over the last fiscal year-24% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Aug 6, 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
- $58.5MderivedRAUM 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
- +80%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
- $80.0M, 2 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$175M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $80.0M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• B•••••• E••••• M••••• F•••• L••• | Hedge Fund | $95.0M | 21 | Jan 9, 2012 |
| T•••• B•••••• E••••• L••• O••• M••••• F••• L•••no longer reported | Hedge Fund | $89.3M | 11 | Mar 24, 2014 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• E•••••• A•••• · Managing Partnercontrolsince 10/2011 · owns 75% or more
- S•••••• J••••• L•• · Chief Compliance Officer/Chief Operating Officercontrolsince 02/2023 · owns less than 5%
- S••••••• E•••••• A•••• · Managing Membercontrolsince 10/2011 · owns 75% or more of T•••• B•••••• C•••••• H•••••••• L••
- S••••••• S••••• N•• · Limited Partnersince 01/2019 · owns less than 5%
Entity owners
- T•••• B•••••• C•••••• H•••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- T•••• B•••••• C•••••• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $97,459,047 to $175,474,601 (+80.0%) between the annual amendments of 2025-03-25 and 2026-03-26; the peer median change was +4.0% (1147 comparable advisers, 95.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 95% percentile
What changed
consecutive filings, newest first
- HQ city · NEW YORK to MONMOUTH BEACHMar 26, 2026 to Aug 6, 2026
- HQ state · NY to NJMar 26, 2026 to Aug 6, 2026
- Other offices · 1 to 0Mar 26, 2026 to Aug 6, 2026
- Assets in custody · $75.2M to $80.0MMar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $97.5M to $175MMar 25, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $97.5M to $175MMar 25, 2025 to Mar 26, 2026
- RAUM · $97.5M to $175MMar 25, 2025 to Mar 26, 2026
- Accounts · 5 to 3Mar 20, 2024 to Mar 25, 2025
- Advisory employees · 5 to 3Mar 20, 2024 to Mar 25, 2025
- Pooled vehicle clients · 4 to 3Mar 20, 2024 to Mar 25, 2025
- Assets in custody · $73.4M to $75.2MMar 20, 2024 to Mar 25, 2025
- Employees · 7 to 5Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- Other offices · 0 to 1Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $186M to $97.5MMar 20, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $121M to $97.5MMar 20, 2024 to Mar 25, 2025
- RAUM · $186M to $97.5MMar 20, 2024 to Mar 25, 2025
- Accounts · 6 to 5Mar 2, 2023 to Mar 20, 2024
- Advisory employees · 6 to 5Mar 2, 2023 to Mar 20, 2024
- Pooled vehicle clients · 5 to 4Mar 2, 2023 to Mar 20, 2024
- Assets in custody · $82.5M to $73.4MMar 2, 2023 to Mar 20, 2024
- Employees · 8 to 7Mar 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $398M to $186MMar 2, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $322M to $121MMar 2, 2023 to Mar 20, 2024
- RAUM · $398M to $186MMar 2, 2023 to Mar 20, 2024
- Advisory employees · 5 to 6Mar 25, 2022 to Mar 2, 2023
- Assets in custody · $99.8M to $82.5MMar 25, 2022 to Mar 2, 2023
- Employees · 9 to 8Mar 25, 2022 to Mar 2, 2023
- Discretionary RAUM · $453M to $398MMar 25, 2022 to Mar 2, 2023
- Pooled vehicle RAUM · $352M to $322MMar 25, 2022 to Mar 2, 2023
- RAUM · $453M to $398MMar 25, 2022 to Mar 2, 2023
- Related adviser · true to falseMar 25, 2022 to Mar 2, 2023
- Advisory employees · 6 to 5Aug 10, 2021 to Mar 25, 2022
- Assets in custody · $82.8M to $99.8MAug 10, 2021 to Mar 25, 2022
- Employees · 11 to 9Aug 10, 2021 to Mar 25, 2022
- Discretionary RAUM · $365M to $453MAug 10, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $265M to $352MAug 10, 2021 to Mar 25, 2022
- RAUM · $365M to $453MAug 10, 2021 to Mar 25, 2022
- Accounts · 5 to 6Oct 20, 2020 to Mar 24, 2021
- Assets in custody · $50.4M to $82.8MOct 20, 2020 to Mar 24, 2021
Signals
8 dated events
- T•••• B•••••• C••••••• L• reported RAUM $186.0M, down 53% from $398.3M (2023-03-02 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- Lee Jared Sirota (Chief Compliance Officer/Chief Operating Officer) appeared on Schedule A of T•••• B•••••• C••••••• L•Mar 2, 2023 · Control person joined · fact
- Howard David Katz (Chief Compliance Officer & Chief Financial Officer) no longer on Schedule A of T•••• B•••••• C••••••• L• (listed 2022-03-25, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- T•••• B•••••• C••••••• L• reported RAUM $364.6M, up 41% from $258.9M (2020-10-20 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- T•••• B•••••• C••••••• L• reported RAUM $258.9M, down 48% from $497.0M (2019-11-11 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Howard David Katz (Chief Compliance Officer & Chief Financial Officer) appeared on Schedule A of T•••• B•••••• C••••••• L•Mar 30, 2020 · Control person joined · fact
- Joseph Keith Oconnor (Chief Compliance Officer / Chief Operating Officer) no longer on Schedule A of T•••• B•••••• C••••••• L• (listed 2019-11-11, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- T•••• B•••••• C••••••• L• reported RAUM $497.0M, down 38% from $796.9M (2018-03-29 to 2019-03-28)Mar 28, 2019 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/T••••-B••••••-CAPITALreportedpublic record, Form ADV, Sep 19, 2026
- Website
- T••••B••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-523-9700reportedpublic record, Form ADV, Aug 6, 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