DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
T••••• I••••••••• L•••
Latest filing Mar 29, 2016
First filing on the tape Feb 20, 2014 · 4 filings
RAUM
$535M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$437M gross assets
History
4 filings and snapshots on the tape
RAUM$535M as of Mar 29, 2016
Mar 30, 2015$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 30, 20150 then
Employees (5.A)9 as of Mar 29, 2016
Mar 30, 20159 then
Private funds1 as of Mar 29, 2016
Mar 30, 20151 then
RAUM -53% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $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
- -53%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)
- 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)
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
- 4reported
- Financial planning clients
- n/areported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• G••••• O••••••••• M•••••• L• | Hedge Fund | $437M | 85 | Mar 8, 2013 |
| T••••• G••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $33.0M | 7 | Mar 28, 2012 |
| T••••• G••••• O••••••••• O••••••• L••••••no longer reported | Hedge Fund | $13.0M | 10 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• J•• · Partner And Director Of Researchcontrolsince 10/2009 · owns 10% to 25%
- M••••••••• O•••••• · Partner And Portfolio Managercontrolsince 10/2009 · owns 50% to 75%
- W••••••••• B••••••• M••• · Partner, Chief Financial Officer, And Chief Compliance Officercontrolsince 03/2012 · owns 5% to 10%
- M••••••••• O•••••• · Managing Membercontrolsince 10/2009 · owns 75% or more of T••••• G•••••• P••••••• L••
Entity owners
- T••••• G•••••• P•••••• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- T••••• G•••••• P••••••• L••investment advisery
- T••••• P••••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 30, 2015 to Mar 29, 2016
- Discretionary RAUM · $1.1B to $535MMar 30, 2015 to Mar 29, 2016
- RAUM · $1.1B to $535MMar 30, 2015 to Mar 29, 2016
- Accounts · 4 to 5Apr 29, 2014 to Mar 30, 2015
- Advisory employees · 4 to 5Apr 29, 2014 to Mar 30, 2015
- Assets in custody · unset to 0.0Apr 29, 2014 to Mar 30, 2015
- Custody of client assets · false to trueApr 29, 2014 to Mar 30, 2015
- Employees · 8 to 9Apr 29, 2014 to Mar 30, 2015
- Discretionary RAUM · $1.0B to $1.1BApr 29, 2014 to Mar 30, 2015
- RAUM · $1.0B to $1.1BApr 29, 2014 to Mar 30, 2015
- Private funds · 2 to 1Feb 20, 2014 to Apr 29, 2014
Signals
1 dated events
- T••••• I••••••••• L••• filed its initial SEC registration (Form ADV)Feb 20, 2014 · First SEC registration · 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