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••••••• V•• L••

Former SEC-registered adviserBoston, MassachusettsCRD 160701SEC 801-73483IAPD
Latest filing Mar 29, 2020
First filing on the tape Feb 13, 2012 · 14 filings
RAUM
$780M
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
116
87 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$780M gross assets
History
14 filings and snapshots on the tape
RAUM$780M as of Mar 29, 2020
Apr 1, 2013$10B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2020
Apr 1, 20130 then
Employees (5.A)116 as of Mar 29, 2020
Apr 1, 201370 then
Private funds3 as of Mar 29, 2020
Apr 1, 20136 then
RAUM -68% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2020; 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
$260MderivedRAUM 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
-68%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, otherreportedItem 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
  • 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)
  • 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
  • Pooled investment vehicles$780M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• H• L•• E••••• F••• V•• L•••Private Equity Fund$434M214Feb 13, 2012
      T••••• H• L•• P••••••• F••• V•• L•••Private Equity Fund$294M125Feb 13, 2012
      T••••• H• L•• P••••••• ••• F••• V•• L•••Private Equity Fund$51.9M33Feb 13, 2012
      T••••• H• L•• P••••••• F••• V• L•••no longer reportedPrivate Equity Fund$069Feb 13, 2012
      T••••• H• L•• E••••• F••• V• L•••no longer reportedPrivate Equity Fund$0233Feb 13, 2012
      T••••• H• L•• E••••• ••••••• F••• V• L•••no longer reportedPrivate Equity Fund$04Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• T•••• M••••• · Managing Directorcontrol
        since 03/2014 · owns less than 5%
      • D•••••• A••••••• J••••• · Co-President; Managing Directorcontrol
        since 01/1993 · owns less than 5%
      • H••••••• T•••••• M••••• · Managing Directorcontrol
        since 03/2014 · owns less than 5%
      • S•••••••• S••••• M••••••• · Co-President; Managing Directorcontrol
        since 09/1994 · owns less than 5%
      • W•••••• S••••• H••• · General Counsel; Managing Directorcontrol
        since 11/2007 · owns less than 5%
      • P••••• A•••••• B•••••••• · Chief Compliance Officer; Assistant General Counsel
        since 07/2011 · owns less than 5%
      Entity owners
      • T••••• H• L•• P•••••••• L••• · Managing Member
        direct · owns 75% or more
      • G••••••••• I•••••••• G• I••• · General Partner
        indirect · owns F of G••••••••• I•••••••• L•
      • G••••••••• I•••••••• H••••• I••• · Sole Member
        indirect · owns 75% or more of G••••••••• I•••••••• L••
      • G••••••••• I•••••••• L•• · Sole Shareholder
        indirect · owns 75% or more of G••••••••• I•••••••• L• I•••
      • G••••••••• I•••••••• L• · Member
        indirect · owns 25% to 50% of T••••• H• L•• A•••••••• L••
      • G••••••••• I•••••••• L• I••• · Limited Partner
        indirect · owns 75% or more of G••••••••• I•••••••• L•
      • G••••••••• L••••• I••• · Sole Shareholder
        indirect · owns 75% or more of T•• C••••• L••• A•••••••• C•••••• · public reporting company
      • G••••••••• L••••• I••• · Sole Shareholder
        indirect · owns 75% or more of T•• G••••••••• L••• A•••••••• C•••••• · public reporting company
      • G•• T•• P•••••• E••••• I• I••• · Sole Shareholder
        indirect · owns 75% or more of G••••••••• I•••••••• H••••• I•••
      • T•• C••••• L••• A•••••••• C•••••• · Shareholder
        indirect · owns 25% to 50% of G•• T•• P•••••• E••••• I• I•••
      • T•• G••••••••• L••• A•••••••• C•••••• · Shareholder
        indirect · owns 50% to 75% of G•• T•• P•••••• E••••• I• I•••
      • T•• H•••••• L•• · Managing Member
        indirect · owns F of T••••• H• L•• A•••••••• L••
      • T••••• H• L•• A•••••••• L•• · General Partner
        indirect · owns F of T••••• H• L•• P•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list T•• M••••••• V•• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 77 to 87
        Jan 8, 2020 to Mar 29, 2020
      • Employees · 111 to 116
        Jan 8, 2020 to Mar 29, 2020
      • Discretionary RAUM · $2.4B to $780M
        Jan 8, 2020 to Mar 29, 2020
      • Pooled vehicle RAUM · $2.4B to $780M
        Jan 8, 2020 to Mar 29, 2020
      • RAUM · $2.4B to $780M
        Jan 8, 2020 to Mar 29, 2020
      • Advisory employees · 50 to 77
        Jul 12, 2018 to Mar 31, 2019
      • Employees · 70 to 111
        Jul 12, 2018 to Mar 31, 2019
      • Discretionary RAUM · $4.4B to $2.4B
        Jul 12, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $4.4B to $2.4B
        Jul 12, 2018 to Mar 31, 2019
      • RAUM · $4.4B to $2.4B
        Jul 12, 2018 to Mar 31, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $5.6B to $4.4B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 4427474642.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $5.6B to $4.4B
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 6 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 6 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $7.2B to $5.6B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $7.2B to $5.6B
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $8.1B to $7.2B
        Oct 9, 2015 to Mar 30, 2016
      • RAUM · $8.1B to $7.2B
        Oct 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $8.4B to $8.1B
        Mar 31, 2015 to Oct 9, 2015
      • RAUM · $8.4B to $8.1B
        Mar 31, 2015 to Oct 9, 2015
      • Discretionary RAUM · $10B to $8.4B
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $10B to $8.4B
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 60 to 50
        Oct 29, 2013 to Mar 28, 2014
      • Discretionary RAUM · $10B to $10B
        Oct 29, 2013 to Mar 28, 2014
      • RAUM · $10B to $10B
        Oct 29, 2013 to Mar 28, 2014
      • Discretionary RAUM · $11B to $10B
        Jan 11, 2013 to Apr 1, 2013
      • RAUM · $11B to $10B
        Jan 11, 2013 to Apr 1, 2013
      • Related bank · false to true
        Jan 11, 2013 to Apr 1, 2013
      • Accounts · 11 to 6
        Feb 13, 2012 to Jan 11, 2013
      • Advisory employees · unset to 60.0
        Feb 13, 2012 to Jan 11, 2013
      • Advisory activities · 2 to 1
        Feb 13, 2012 to Jan 11, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Jan 11, 2013
      • Employees · unset to 70.0
        Feb 13, 2012 to Jan 11, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Jan 11, 2013
      • Discretionary RAUM · $11B to $11B
        Feb 13, 2012 to Jan 11, 2013
      • RAUM · $11B to $11B
        Feb 13, 2012 to Jan 11, 2013
      Signals
      5 dated events
      • T•• M••••••• V•• L•• reported RAUM $779.9M, down 68% from $2.4B (2020-01-08 to 2020-03-29)
        Mar 29, 2020 · RAUM change · derived
      • Patrick Charles Holden (Chief Financial Officer; Managing Director) no longer on Schedule A of T•• M••••••• V•• L•• (listed 2019-03-31, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • Luther Soren Oberg (Managing Director) no longer on Schedule A of T•• M••••••• V•• L•• (listed 2019-03-31, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • Raymond Kent Weldon (Managing Director) no longer on Schedule A of T•• M••••••• V•• L•• (listed 2019-03-31, absent 2020-01-08)
        Jan 8, 2020 · Control person left · inference
      • T•• M••••••• V•• L•• reported RAUM $2.4B, down 46% from $4.4B (2018-07-12 to 2019-03-31)
        Mar 31, 2019 · 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