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••• M•••• • C•• I••

Former SEC-registered adviserNew York, New YorkCRD 160682SEC 801-74241IAPD
Legal name T••• M•••• • C•• I•••
Latest filing Mar 29, 2023
First filing on the tape Feb 15, 2012 · 19 filings
RAUM
$20.0M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$20.0M gross assets
History
19 filings and snapshots on the tape
RAUM$20.0M as of Mar 29, 2023
Mar 28, 2013$220M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 28, 20130 then
Employees (5.A)4 as of Mar 29, 2023
Mar 28, 20135 then
Private funds2 as of Mar 29, 2023
Mar 28, 20132 then
RAUM -82% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
$10.0MderivedRAUM 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
-82%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
$20.0M, 2 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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$20.0M100%
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
$20.0M for 2 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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
S•••••• I••••••••• L••••••Other Private Fund$20.0M8Feb 15, 2012
S•••••• P•••••••• L•Other Private Fund$5340Feb 15, 2012
Owners and control persons
Schedule A and B, latest filing
  • C••••• R••••• J•• · Cfocontrol
    since 07/2011 · owns less than 5%
  • J••••••• L••••••••• E••• · Ccocontrol
    since 07/2011 · owns less than 5%
  • M••••• T•••••• A•••• · Ownercontrol
    since 07/1990 · owns 75% or more
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
  • Assets in custody · $110M to $20.0M
    Feb 23, 2022 to Mar 29, 2023
  • Discretionary RAUM · $110M to $20.0M
    Feb 23, 2022 to Mar 29, 2023
  • Pooled vehicle RAUM · $110M to $20.0M
    Feb 23, 2022 to Mar 29, 2023
  • RAUM · $110M to $20.0M
    Feb 23, 2022 to Mar 29, 2023
  • Assets in custody · $85.0M to $110M
    Mar 8, 2021 to Feb 23, 2022
  • Discretionary RAUM · $85.0M to $110M
    Mar 8, 2021 to Feb 23, 2022
  • Pooled vehicle RAUM · $85.0M to $110M
    Mar 8, 2021 to Feb 23, 2022
  • RAUM · $85.0M to $110M
    Mar 8, 2021 to Feb 23, 2022
  • Assets in custody · $104M to $85.0M
    Mar 5, 2020 to Mar 8, 2021
  • Discretionary RAUM · $104M to $85.0M
    Mar 5, 2020 to Mar 8, 2021
  • Pooled vehicle RAUM · $104M to $85.0M
    Mar 5, 2020 to Mar 8, 2021
  • RAUM · $104M to $85.0M
    Mar 5, 2020 to Mar 8, 2021
  • Assets in custody · $89.0M to $104M
    Mar 6, 2019 to Mar 5, 2020
  • Discretionary RAUM · $89.0M to $104M
    Mar 6, 2019 to Mar 5, 2020
  • Pooled vehicle RAUM · $89.0M to $104M
    Mar 6, 2019 to Mar 5, 2020
  • RAUM · $89.0M to $104M
    Mar 6, 2019 to Mar 5, 2020
  • Assets in custody · $202M to $89.0M
    Mar 23, 2018 to Mar 6, 2019
  • Discretionary RAUM · $202M to $89.0M
    Mar 23, 2018 to Mar 6, 2019
  • Pooled vehicle RAUM · $202M to $89.0M
    Mar 23, 2018 to Mar 6, 2019
  • RAUM · $202M to $89.0M
    Mar 23, 2018 to Mar 6, 2019
  • Advisory employees · 3 to 2
    Jan 10, 2018 to Mar 23, 2018
  • Pooled vehicle clients · unset to 2.0
    Jan 10, 2018 to Mar 23, 2018
  • Employees · 5 to 4
    Jan 10, 2018 to Mar 23, 2018
  • Pooled vehicle RAUM · unset to 202000000.0
    Jan 10, 2018 to Mar 23, 2018
  • Advisory employees · 4 to 3
    Mar 17, 2017 to Jan 10, 2018
  • Employees · 6 to 5
    Mar 17, 2017 to Jan 10, 2018
  • Other offices · unset to 0.0
    Mar 17, 2017 to Jan 10, 2018
  • Assets in custody · $182M to $202M
    Jan 10, 2018 to Jan 10, 2018
  • Discretionary RAUM · $182M to $202M
    Jan 10, 2018 to Jan 10, 2018
  • RAUM · $182M to $202M
    Jan 10, 2018 to Jan 10, 2018
  • Assets in custody · $157M to $182M
    Mar 11, 2016 to Mar 17, 2017
  • Discretionary RAUM · $157M to $182M
    Mar 11, 2016 to Mar 17, 2017
  • RAUM · $157M to $182M
    Mar 11, 2016 to Mar 17, 2017
  • Assets in custody · $236M to $157M
    Mar 12, 2015 to Mar 11, 2016
  • Discretionary RAUM · $236M to $157M
    Mar 12, 2015 to Mar 11, 2016
  • RAUM · $236M to $157M
    Mar 12, 2015 to Mar 11, 2016
  • Assets in custody · $269M to $236M
    Mar 14, 2014 to Mar 12, 2015
  • Discretionary RAUM · $269M to $236M
    Mar 14, 2014 to Mar 12, 2015
  • RAUM · $269M to $236M
    Mar 14, 2014 to Mar 12, 2015
  • Advisory employees · 3 to 4
    Apr 16, 2013 to Mar 14, 2014
Signals
1 dated events
  • T••• M•••• • C•• I•• reported RAUM $89.0M, down 56% from $202.0M (2018-03-23 to 2019-03-06)
    Mar 6, 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.
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