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••••••••• R••••••• P•••••••

Former SEC-registered adviserBirmingham, MichiganCRD 160765SEC 801-73934IAPD
Legal name T••••••••• R••••••• A•••••••• L••
Latest filing Mar 19, 2020
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$68.3M
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
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$68.3M gross assets
History
11 filings and snapshots on the tape
RAUM$68.3M as of Mar 19, 2020
Apr 1, 2013$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Apr 1, 20130 then
Employees (5.A)8 as of Mar 19, 2020
Apr 1, 20137 then
Private funds1 as of Mar 19, 2020
Apr 1, 20131 then
RAUM -7.8% over the last fiscal year-2.1% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of Mar 19, 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
$68.3MderivedRAUM 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
-7.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$68.3M, 1 clientsreportedItem 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$68.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$68.3M for 1 clientsreported
Compensation
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••••• R••••••• P•••••••• L•Private Equity Fund$68.3M29Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J••••• A•••••• · Member And Managing Directorcontrol
        since 07/2003 · owns 25% to 50%
      • P•••••• R••••• S••••• · Shareholdercontrol
        since 11/1990 · owns 50% to 75% of P••••• C•••••••••
      • P•••••• L•••• M••• · Membercontrol
        since 06/1997 · owns 50% to 75% of R••• P••••• • C••••••• L••
      • P•••••• R••••••• J•••• · Membercontrol
        since 06/1997 · owns 50% to 75% of R.J. P••••• & Company LLC
      • H•••••• K••••• A•• · Chief Compliance Officer
        since 01/2012 · owns less than 5%
      • M•••••••• D••••• R•• · Member And Managing Director
        since 07/2003 · owns 5% to 10%
      Entity owners
      • P•• H•••••••• I••• · Member
        direct · owns 25% to 50%
      • R••• P••••• • C••••••• L•• · Member
        direct · owns 25% to 50%
      • P••••• C••••••••• · Shareholder
        indirect · owns 75% or more of P•• H•••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 8
        Mar 29, 2019 to Mar 19, 2020
      • Assets in custody · $74.0M to $68.3M
        Mar 29, 2019 to Mar 19, 2020
      • Employees · 7 to 8
        Mar 29, 2019 to Mar 19, 2020
      • HQ city · BLOOMFIELD HILLS to BIRMINGHAM
        Mar 29, 2019 to Mar 19, 2020
      • Other offices · 2 to 0
        Mar 29, 2019 to Mar 19, 2020
      • Discretionary RAUM · $74.0M to $68.3M
        Mar 29, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $74.0M to $68.3M
        Mar 29, 2019 to Mar 19, 2020
      • RAUM · $74.0M to $68.3M
        Mar 29, 2019 to Mar 19, 2020
      • Assets in custody · $73.7M to $74.0M
        Mar 29, 2018 to Mar 29, 2019
      • HQ city · AUBURN HILLS to BLOOMFIELD HILLS
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $73.7M to $74.0M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $73.7M to $74.0M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $73.7M to $74.0M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $72.9M to $73.7M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $72.9M to $73.7M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 73657257.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $72.9M to $73.7M
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $74.5M to $72.9M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 6 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $74.5M to $72.9M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $74.5M to $72.9M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 7 to 6
        Mar 27, 2015 to Mar 30, 2016
      • Assets in custody · $264M to $74.5M
        Mar 27, 2015 to Mar 30, 2016
      • Employees · 7 to 6
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $264M to $74.5M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $264M to $74.5M
        Mar 27, 2015 to Mar 30, 2016
      • HQ city · BLOOMFIELD HILLS to AUBURN HILLS
        Mar 27, 2014 to Nov 17, 2014
      • Advisory employees · unset to 7.0
        Mar 20, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 20, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Mar 20, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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