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••••••• I••
Legal name T••••••••• R••••••• A••••••• I••• L••
Latest filing Mar 30, 2022
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$42.2M
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
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$14.6M gross assets
History
14 filings and snapshots on the tape
RAUM$42.2M as of Mar 30, 2022
Apr 1, 2013$244M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Apr 1, 20130 then
Employees (5.A)9 as of Mar 30, 2022
Apr 1, 20137 then
Private funds1 as of Mar 30, 2022
Apr 1, 20131 then
RAUM +32% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
- $42.2MderivedRAUM 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
- +32%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $42.2M, 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$42.2M100%
- 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
- $42.2M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••••• R••••••• P••••••• I••• L• | Private Equity Fund | $14.6M | 29 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••• J••••• A•••••• · Member And Managing Directorcontrolsince 10/2008 · owns 25% to 50%
- M•••••••• D••••• R•• · Member And Managing Directorcontrolsince 10/2008 · owns 25% to 50%
- P•••••• R••••• S••••• · Shareholdercontrolsince 11/1990 · owns 50% to 75% of P••••• C•••••••••
- H•••••• K••••• A•• · Chief Compliance Officer And Chief Financial Officersince 01/2012 · owns less than 5%
Entity owners
- P•• H•••••••• I•• · Memberdirect · owns 25% to 50%
- P••••• C••••••••• · Shareholderindirect · owns 75% or more of P•• H•••••••• I••.
Related persons
Schedule D 7.A
- T••••••••• R••••••• M••••••••• I••• L••pooled vehicle sponsorn
- T•• C•••••• A••••••• V• L••investment advisernRAUM $691M
- T•• C•••••• A•••••••• L••investment advisernRAUM $82.5M
Advisers that list T••••••••• R••••••• P••••••• I•• as a related person
- 160765 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9Mar 24, 2021 to Mar 30, 2022
- Assets in custody · $32.0M to $42.2MMar 24, 2021 to Mar 30, 2022
- Employees · 8 to 9Mar 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $32.0M to $42.2MMar 24, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $32.0M to $42.2MMar 24, 2021 to Mar 30, 2022
- RAUM · $32.0M to $42.2MMar 24, 2021 to Mar 30, 2022
- Assets in custody · $33.5M to $32.0MMar 19, 2020 to Mar 24, 2021
- Discretionary RAUM · $33.5M to $32.0MMar 19, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $33.5M to $32.0MMar 19, 2020 to Mar 24, 2021
- RAUM · $33.5M to $32.0MMar 19, 2020 to Mar 24, 2021
- Advisory employees · 7 to 8Mar 29, 2019 to Mar 19, 2020
- Assets in custody · $59.2M to $33.5MMar 29, 2019 to Mar 19, 2020
- Employees · 7 to 8Mar 29, 2019 to Mar 19, 2020
- HQ city · BLOOMFILED HILLS to BIRMINGHAMMar 29, 2019 to Mar 19, 2020
- Other offices · 2 to 0Mar 29, 2019 to Mar 19, 2020
- Discretionary RAUM · $59.2M to $33.5MMar 29, 2019 to Mar 19, 2020
- Pooled vehicle RAUM · $59.2M to $33.5MMar 29, 2019 to Mar 19, 2020
- RAUM · $59.2M to $33.5MMar 29, 2019 to Mar 19, 2020
- Assets in custody · $70.4M to $59.2MMar 29, 2018 to Mar 29, 2019
- HQ city · AUBURN HILLS to BLOOMFILED HILLSMar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $70.4M to $59.2MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $70.4M to $59.2MMar 29, 2018 to Mar 29, 2019
- RAUM · $70.4M to $59.2MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 1.0Mar 31, 2017 to Mar 29, 2018
- Assets in custody · $137M to $70.4MMar 31, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Mar 31, 2017 to Mar 29, 2018
- Discretionary RAUM · $137M to $70.4MMar 31, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 70352165.0Mar 31, 2017 to Mar 29, 2018
- RAUM · $137M to $70.4MMar 31, 2017 to Mar 29, 2018
- Advisory employees · 6 to 7Mar 30, 2016 to Mar 31, 2017
- Assets in custody · $123M to $137MMar 30, 2016 to Mar 31, 2017
- Employees · 6 to 7Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $123M to $137MMar 30, 2016 to Mar 31, 2017
- RAUM · $123M to $137MMar 30, 2016 to Mar 31, 2017
- Advisory employees · 7 to 6Mar 27, 2015 to Mar 30, 2016
- Assets in custody · $244M to $123MMar 27, 2015 to Mar 30, 2016
- Employees · 7 to 6Mar 27, 2015 to Mar 30, 2016
- Discretionary RAUM · $244M to $123MMar 27, 2015 to Mar 30, 2016
- RAUM · $244M to $123MMar 27, 2015 to Mar 30, 2016
- HQ city · BLOOMFIELD HILLS to AUBURN HILLSMar 27, 2014 to Nov 17, 2014
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- T••••••••• R••••••• P••••••• I•• · Private Equityshared crd · organization
- T••••••••• R••••••• P••••••• I•• · Venture Capitalshared crd · organization
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