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••• N•••• M••••••••• G••••• L••
Latest filing Mar 16, 2026
First filing on the tape Feb 15, 2012 · 19 filings
SEC status approved since Mar 30, 2012
RAUM
$493M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$493M as of Mar 16, 2026
Mar 27, 2013$718M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 27, 20130 then
Employees (5.A)9 as of Mar 16, 2026
Mar 27, 201316 then
Private funds4 as of Mar 16, 2026
Mar 27, 20133 then
RAUM -10% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
- $98.5MderivedRAUM 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
- -10%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
- $493M, 5 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$493M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $493M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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••• N•••• R••• E••••• F••• I••• L••• | Real Estate Fund | $252M | 60 | Mar 31, 2015 |
| T••• N•••• R••• E••••• F••• I•• L••• | Real Estate Fund | $191M | 7 | Mar 30, 2020 |
| T••• N•••• R••• E••••• C••••••••• S•••••• L• | Real Estate Fund | $108M | 2 | Mar 17, 2022 |
| T••• N•••• R••• E••••• C••••••••• S•••••• 2• L• | Real Estate Fund | $53.2M | 3 | Mar 17, 2022 |
| T••• N•••• H••• Y•••• I••••••••• F••• I•• L••no longer reported | Real Estate Fund | $30.9M | 65 | Feb 15, 2012 |
| T••• N•••• M•••••••• I••••••••• F•••• L••no longer reported | Real Estate Fund | $1.4M | 65 | Feb 15, 2012 |
| T••• N•••• F•••••••• P••••••• P•••••••• L••no longer reported | Real Estate Fund | $778,392 | 65 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• C••••• L• · Chief Financial Officer / Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
- T•••••••• P•••• R••••• · Sole Membercontrolsince 12/2004 · owns 75% or more of E••• C••••••• L••
Entity owners
- E••• C••••••• L•• · Memberdirect · owns 25% to 50%
- M• F••••• C••••••• L•• · Memberdirect · owns 10% to 25%
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
- Advisory employees · 8 to 6Mar 18, 2025 to Mar 16, 2026
- Assets in custody · $549M to $493MMar 18, 2025 to Mar 16, 2026
- Employees · 12 to 9Mar 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $549M to $493MMar 18, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $549M to $493MMar 18, 2025 to Mar 16, 2026
- RAUM · $549M to $493MMar 18, 2025 to Mar 16, 2026
- Advisory employees · 7 to 8Mar 21, 2024 to Mar 18, 2025
- Assets in custody · $605M to $549MMar 21, 2024 to Mar 18, 2025
- Employees · 11 to 12Mar 21, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 18, 2025
- Discretionary RAUM · $605M to $549MMar 21, 2024 to Mar 18, 2025
- Pooled vehicle RAUM · $605M to $549MMar 21, 2024 to Mar 18, 2025
- RAUM · $605M to $549MMar 21, 2024 to Mar 18, 2025
- Advisory employees · 10 to 7Mar 20, 2023 to Mar 21, 2024
- Assets in custody · $661M to $605MMar 20, 2023 to Mar 21, 2024
- Employees · 14 to 11Mar 20, 2023 to Mar 21, 2024
- Discretionary RAUM · $661M to $605MMar 20, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $661M to $605MMar 20, 2023 to Mar 21, 2024
- RAUM · $661M to $605MMar 20, 2023 to Mar 21, 2024
- Accounts · 8 to 5Mar 17, 2022 to Mar 20, 2023
- Advisory employees · 9 to 10Mar 17, 2022 to Mar 20, 2023
- Pooled vehicle clients · 8 to 5Mar 17, 2022 to Mar 20, 2023
- Assets in custody · $721M to $661MMar 17, 2022 to Mar 20, 2023
- Employees · 13 to 14Mar 17, 2022 to Mar 20, 2023
- HQ city · WHITE PLAINS to STAMFORDMar 17, 2022 to Mar 20, 2023
- HQ state · NY to CTMar 17, 2022 to Mar 20, 2023
- Private funds · 5 to 4Mar 17, 2022 to Mar 20, 2023
- Discretionary RAUM · $721M to $661MMar 17, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $721M to $661MMar 17, 2022 to Mar 20, 2023
- RAUM · $721M to $661MMar 17, 2022 to Mar 20, 2023
- Accounts · 6 to 8Mar 30, 2021 to Mar 17, 2022
- Pooled vehicle clients · 6 to 8Mar 30, 2021 to Mar 17, 2022
- Assets in custody · $599M to $721MMar 30, 2021 to Mar 17, 2022
- Private funds · 3 to 5Mar 30, 2021 to Mar 17, 2022
- Discretionary RAUM · $599M to $721MMar 30, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $599M to $721MMar 30, 2021 to Mar 17, 2022
- RAUM · $599M to $721MMar 30, 2021 to Mar 17, 2022
- Advisory employees · 12 to 9Apr 24, 2020 to Mar 30, 2021
- Assets in custody · $757M to $599MApr 24, 2020 to Mar 30, 2021
- Employees · 16 to 13Apr 24, 2020 to Mar 30, 2021
Signals
1 dated events
- M Richard Gunthel (Sole Member) no longer on Schedule A of T••• N•••• M••••••••• G••••• L•• (listed 2023-03-20, absent 2024-03-21)Mar 21, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-304-8760reportedpublic record, Form ADV, Mar 16, 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
- Asset manager (funds and pooled vehicles)deriveda 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
Across the graphs
T••• N•••• M••••••••• G••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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