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••

Former SEC-registered adviserOmaha, NebraskaCRD 160221SEC 801-73413IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 13, 2012 · 14 filings
RAUM
$110M
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
50
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$110M gross assets
History
14 filings and snapshots on the tape
RAUM$110M as of Mar 29, 2018
Mar 27, 2013$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 27, 20130 then
Employees (5.A)50 as of Mar 29, 2018
Mar 27, 2013130 then
Private funds7 as of Mar 29, 2018
Mar 27, 20137 then
RAUM -78% over the last fiscal year-59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$15.7MderivedRAUM 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
-78%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
$72.3M, 7 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$110M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$72.3M for 7 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• I•• L•••Private Equity Fund$31.1M114Feb 13, 2012
      T•• I•••• L•••Private Equity Fund$4.7M21Feb 13, 2012
      T•• I•••• L•••Private Equity Fund$4.1M2Feb 13, 2012
      C•••••• C••••••••• F•••• L•••no longer reportedPrivate Equity Fund$30,0004Feb 13, 2012
      T•• G•••• C••••••••• F•••• L•••Private Equity Fund$023Feb 13, 2012
      T•• I••• C••••• C••••••••• F•••• L•••Private Equity Fund$02Feb 13, 2012
      T•••••• P•••• F•••• L•••Private Equity Fund$064Feb 13, 2012
      T•• I• C••••• C••••••••• F•••• L•••Private Equity Fund$020Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••• K••• · Board Of Managers, Executive Vice President And Vice Chairmancontrol
        since 03/2011 · owns less than 5%
      • D•••••• D••••• C••••• · Chief Compliance Officer, Vice President & General Counselcontrol
        since 12/2011 · owns less than 5%
      • H••••• H•••••• L•• · Board Of Managers, Chairmancontrol
        since 06/2003 · owns less than 5%
      • H••••••••• T•••••• E••••• · Board Of Managers, Executive Vice President And Vice Chairmancontrol
        since 06/2003 · owns less than 5%
      • L•••••••• D•••••• E••••• · Senior Managing Director, Ceo And Presidentcontrol
        since 06/2003 · owns less than 5%
      • S••••••• R•••• T••• · Chief Financial Officer, Managing Director, Senior Vice President, Treasurer And Secretarycontrol
        since 03/2011 · owns less than 5%
      • S••••• P•••• G••••• · Board Of Managers And Senior Managing Directorcontrol
        since 06/2003 · owns less than 5%
      • H••••• H•••••• L•• · Shareholdercontrol
        since 04/2003 · owns 25% to 50% of T•••••• E•••••• I•••
      Entity owners
      • T•••••• E••••• H•••••••• L•• · Member
        direct · owns 25% to 50%
      • T••••••• I••• · Member
        direct · owns 50% to 75%
      • T•••••• E•••••• I••• · Shareholder
        indirect · owns 75% or more of T••••••• I•••
      Related persons
      Schedule D 7.A
      • T•••••• P• G• L••
        pooled vehicle sponsory
      • T•••••• P•• I•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 80 to 25
        Apr 13, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 7.0
        Apr 13, 2017 to Mar 29, 2018
      • Assets in custody · $171M to $72.3M
        Apr 13, 2017 to Mar 29, 2018
      • Employees · 120 to 50
        Apr 13, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Apr 13, 2017 to Mar 29, 2018
      • Discretionary RAUM · $501M to $110M
        Apr 13, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 109616000.0
        Apr 13, 2017 to Mar 29, 2018
      • RAUM · $501M to $110M
        Apr 13, 2017 to Mar 29, 2018
      • Advisory employees · 85 to 80
        Apr 25, 2016 to Mar 29, 2017
      • Assets in custody · $986M to $171M
        Apr 25, 2016 to Mar 29, 2017
      • Employees · 125 to 120
        Apr 25, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.3B to $501M
        Apr 25, 2016 to Mar 29, 2017
      • RAUM · $1.3B to $501M
        Apr 25, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 30, 2016 to Apr 25, 2016
      • RAUM · $1.3B to $1.3B
        Mar 30, 2016 to Apr 25, 2016
      • Advisory employees · 90 to 85
        Apr 14, 2015 to Mar 30, 2016
      • Assets in custody · $1.2B to $986M
        Apr 14, 2015 to Mar 30, 2016
      • Employees · 130 to 125
        Apr 14, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.5B to $1.3B
        Apr 14, 2015 to Mar 30, 2016
      • RAUM · $1.5B to $1.3B
        Apr 14, 2015 to Mar 30, 2016
      • Related bank · true to false
        Apr 14, 2015 to Mar 30, 2016
      • Assets in custody · $1.2B to $1.2B
        Mar 30, 2015 to Apr 14, 2015
      • Discretionary RAUM · $1.5B to $1.5B
        Mar 30, 2015 to Apr 14, 2015
      • RAUM · $1.5B to $1.5B
        Mar 30, 2015 to Apr 14, 2015
      • Assets in custody · $2.1B to $1.2B
        Apr 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.4B to $1.5B
        Apr 1, 2014 to Mar 30, 2015
      • RAUM · $2.4B to $1.5B
        Apr 1, 2014 to Mar 30, 2015
      • Assets in custody · $2.1B to $2.1B
        Mar 27, 2013 to Mar 14, 2014
      • Discretionary RAUM · $3.0B to $2.4B
        Mar 27, 2013 to Mar 14, 2014
      • RAUM · $3.0B to $2.4B
        Mar 27, 2013 to Mar 14, 2014
      • Accounts · 8 to 7
        Aug 14, 2012 to Mar 27, 2013
      • Advisory employees · unset to 90.0
        Aug 14, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Aug 14, 2012 to Mar 27, 2013
      • Assets in custody · $2.2B to $2.1B
        Aug 14, 2012 to Mar 27, 2013
      • Employees · unset to 130.0
        Aug 14, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Aug 14, 2012 to Mar 27, 2013
      • Private funds · 8 to 7
        Aug 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $3.1B to $3.0B
        Aug 14, 2012 to Mar 27, 2013
      • RAUM · $3.1B to $3.0B
        Aug 14, 2012 to Mar 27, 2013
      • Related bank · false to true
        Aug 14, 2012 to Mar 27, 2013
      Signals
      1 dated events
      • T•••••• C•••••• M••••••••• L•• reported RAUM $109.6M, down 78% from $500.6M (2017-04-13 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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