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••••• G••••• M••••••••• L•••

Former SEC-registered adviserStamford, ConnecticutCRD 161113SEC 801-73496IAPD
Latest filing May 28, 2013
First filing on the tape Feb 13, 2012 · 4 filings
RAUM
$97.9M
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$92.0M gross assets
History
4 filings and snapshots on the tape
RAUM$97.9M as of May 28, 2013
Feb 13, 2012$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 28, 2013
Jan 18, 20130 then
Employees (5.A)7 as of May 28, 2013
Jan 18, 201322 then
Private funds2 as of May 28, 2013
Feb 13, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 28, 2013; 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
$16.3MderivedRAUM 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
unknownderivedbetween 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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$92.0M, 5 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$92.0M for 5 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• G••••• E••••••• M•••••• M••••• F•••• L••Hedge Fund$60.7M6Feb 13, 2012
      T••••• G••••• E••••••• M•••••• F•••• I••••• U••• T••••Hedge Fund$31.2M1Feb 13, 2012
      T••••• G••••• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$15.6M16Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• R•••••• · Chief Investment Officer / Managing Partnercontrol
        since 04/2008 · owns 25% to 50%
      • G•••••• J•••• F•••• · Chief Compliance Officer / Chief Operating Officercontrol
        since 04/2008 · owns less than 5%
      • M••••••••• A•••••• · Presidentcontrol
        since 04/2013 · owns less than 5%
      • A••••• Y••••••• · Managing Member & Coo - T••••• R••••••• I••••••••• L••control
        since 01/2013 · owns 25% to 50% of T••••• R••••••• I••••••••• L••
      • D••••••• R•••••• · Managing Member - E•••• C•••••• M••••••••• L••control
        since 08/2007 · owns 75% or more of E•••• C•••••• M••••••••• L••
      • D••••••• R•••••• · Managing Member - T••••• G••••• P•••••••• L••control
        since 02/2013 · owns 50% to 75% of T••••• G••••• P•••••••• L••
      • K••••••••• M••••••• · Managing Member & Ceo - T••••• R••••••• I••••••••• L••control
        since 01/2013 · owns 50% to 75% of T••••• R••••••• I••••••••• L••
      • H••••• M••••••• T••• · Portfolio Manager / Limited Partner
        since 02/2013 · owns 10% to 25%
      • V•••• D• C••••• P•••• · Head Of R••••••• / Limited Partner
        since 01/2010 · owns 10% to 25%
      Entity owners
      • E•••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • T••••• G••••• P•••••••• L•• · Managing Member - T••••• G••••• E••••••• M•••••• P•••••••• L••
        direct · owns 75% or more
      • T••••• R••••••• I••••••••• L•• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • T••••• G••••• E••••••• M•••••• P•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 6
        Jan 18, 2013 to Mar 27, 2013
      • Advisory employees · 7 to 5
        Jan 18, 2013 to Mar 27, 2013
      • BD registered reps · 4 to 0
        Jan 18, 2013 to Mar 27, 2013
      • Assets in custody · $106M to $92.0M
        Jan 18, 2013 to Mar 27, 2013
      • Employees · 22 to 7
        Jan 18, 2013 to Mar 27, 2013
      • Private funds · 3 to 2
        Jan 18, 2013 to Mar 27, 2013
      • Discretionary RAUM · $106M to $97.9M
        Jan 18, 2013 to Mar 27, 2013
      • RAUM · $106M to $97.9M
        Jan 18, 2013 to Mar 27, 2013
      • Related broker-dealer · true to false
        Jan 18, 2013 to Mar 27, 2013
      • Advisory employees · unset to 7.0
        Feb 13, 2012 to Jan 18, 2013
      • BD registered reps · unset to 4.0
        Feb 13, 2012 to Jan 18, 2013
      • Employees · unset to 22.0
        Feb 13, 2012 to Jan 18, 2013
      • HQ city · NEW YORK to STAMFORD
        Feb 13, 2012 to Jan 18, 2013
      • HQ state · NY to CT
        Feb 13, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Jan 18, 2013
      Signals
      No event on the tape.
      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