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••• C••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Feb 14, 2012 · 19 filings
SEC status approved since Mar 23, 2012
RAUM
$138M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$138M as of Mar 24, 2026
Mar 21, 2013$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 21, 20130 then
Employees (5.A)1 as of Mar 24, 2026
Mar 21, 20138 then
Private funds1 as of Mar 24, 2026
Mar 21, 20134 then
RAUM +17% over the last fiscal year-1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $69.0MderivedRAUM 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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
- 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
- Corporations and businesses$108M78%
- Pooled investment vehicles$30.0M22%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.22 institutional_share=0.0 related_bd=false related_bank=false 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• I•••• P•••••• E••••• F••• I• | Private Equity Fund | $68.7M | 21 | Feb 14, 2012 |
| T••• O••••• F•••• L•••no longer reported | Hedge Fund | $37.4M | 5 | Mar 28, 2016 |
| T••• I••••••••• O••••••••• F•••no longer reported | Hedge Fund | $20.2M | 13 | Mar 31, 2021 |
| T••• G••••• H••• A••••• ••••••••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
| T••• O••••• G••••• M•••• F•••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2017 |
| T••• G••••• H••• A•••••• L•••no longer reported | Hedge Fund | $0 | 0 | Feb 14, 2012 |
| T••• I•••• P•••••• E••••• F••• I•no longer reported | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• C•••••••• · Chief Financial Officercontrolsince 12/2016 · owns less than 5%
Entity owners
- E••••• O• C•••••• E• J•••••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T••• C•••• C•••••• M••••••••• I•••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $118M to $138MMar 28, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $17.7M to $30.0MMar 28, 2025 to Mar 24, 2026
- RAUM · $118M to $138MMar 28, 2025 to Mar 24, 2026
- Advisory employees · 2 to 1Mar 29, 2024 to Mar 28, 2025
- Employees · 2 to 1Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $166M to $118MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $68.7M to $17.7MMar 29, 2024 to Mar 28, 2025
- RAUM · $166M to $118MMar 29, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2Sep 26, 2023 to Mar 29, 2024
- Employees · 3 to 2Sep 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $143M to $166MSep 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $48.3M to $68.7MSep 26, 2023 to Mar 29, 2024
- RAUM · $143M to $166MSep 26, 2023 to Mar 29, 2024
- Accounts · 3 to 2May 10, 2022 to Mar 23, 2023
- Pooled vehicle clients · 2 to 1May 10, 2022 to Mar 23, 2023
- Private funds · 2 to 1May 10, 2022 to Mar 23, 2023
- Discretionary RAUM · $209M to $143MMay 10, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $93.0M to $48.3MMay 10, 2022 to Mar 23, 2023
- RAUM · $209M to $143MMay 10, 2022 to Mar 23, 2023
- Related bank · true to falseMay 10, 2022 to Mar 23, 2023
- Accounts · 5 to 3Mar 30, 2022 to May 10, 2022
- Pooled vehicle clients · 4 to 2Mar 30, 2022 to May 10, 2022
- Private funds · 4 to 2Mar 30, 2022 to May 10, 2022
- Advisory employees · 4 to 3Dec 8, 2021 to Mar 30, 2022
- Employees · 4 to 3Dec 8, 2021 to Mar 30, 2022
- Discretionary RAUM · $289M to $209MDec 8, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $195M to $93.0MDec 8, 2021 to Mar 30, 2022
- RAUM · $289M to $209MDec 8, 2021 to Mar 30, 2022
- Accounts · 4 to 5Mar 27, 2020 to Mar 31, 2021
- Pooled vehicle clients · 3 to 4Mar 27, 2020 to Mar 31, 2021
- Private funds · 3 to 4Mar 27, 2020 to Mar 31, 2021
- Discretionary RAUM · $269M to $289MMar 27, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $172M to $195MMar 27, 2020 to Mar 31, 2021
- RAUM · $269M to $289MMar 27, 2020 to Mar 31, 2021
- Discretionary RAUM · $281M to $269MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $197M to $172MMar 29, 2019 to Mar 27, 2020
- RAUM · $281M to $269MMar 29, 2019 to Mar 27, 2020
- Advisory employees · 6 to 4Mar 28, 2018 to Mar 29, 2019
- Employees · 8 to 4Mar 28, 2018 to Mar 29, 2019
Signals
6 dated events
- Peter Ernest Tan (Chief Compliance Officer, Managing Director) no longer on Schedule A of T••• C••••••• L•• (listed 2023-03-23, absent 2023-09-01)Sep 1, 2023 · Control person left · inference
- Endler Charles Johnson (Managing Member) no longer on Schedule A of T••• C••••••• L•• (listed 2021-12-08, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- C•••••••• S••••• (Cfo) appeared on Schedule A of T••• C••••••• L••Mar 31, 2021 · Control person joined · fact
- T••• C••••••• L•• reported RAUM $281.1M, down 27% from $387.1M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Peter Ernest Tan (Chief Compliance Officer, Managing Director) appeared on Schedule A of T••• C••••••• L••Mar 29, 2019 · Control person joined · fact
- Cunningham Candace Lyche (Chief Compliance Officer) no longer on Schedule A of T••• C••••••• L•• (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- T••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- T•••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-212-0330reportedpublic record, Form ADV, Mar 24, 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
- Other 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