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•••••• A•••• M••••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161203SEC 801-76681IAPD
Latest filing May 23, 2019
First filing on the tape May 7, 2012 · 23 filings
RAUM
$76.3M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$76.3M gross assets
History
23 filings and snapshots on the tape
RAUM$1.7B as of Mar 26, 2019
Mar 28, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20130 then
Employees (5.A)8 as of Mar 26, 2019
Mar 28, 201313 then
Private funds8 as of Mar 26, 2019
Mar 28, 20134 then
RAUM -96% over the last fiscal year-65% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 23, 2019; 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
$38.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-3.4%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
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$76.3M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• C•• 2•••••• L•••no longer reportedSecuritized Asset Fund$204M2Mar 30, 2017
      T••• C••••• O••••••••• F•••• L•••Hedge Fund$55.3M5Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••••• G••• · Chief Executive Officercontrol
        since 01/2019 · owns 25% to 50%
      • B•••• S•••••• E•••••••• · Chief Financial Officercontrol
        since 07/2015 · owns less than 5%
      • I••••• J••••••• · Presidentcontrol
        since 01/2019 · owns less than 5%
      • R••••••• N•••• C•••••• · G•••Ral Counselcontrol
        since 07/2013 · owns less than 5%
      • W••••• J••••• H••••• · Chief O•••••••• Officercontrol
        since 04/2012 · owns less than 5%
      • K•••• S•••• K•• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • T•••••• O•••••••• C••••••• L•• · Sole And Managing Member
        direct · owns 75% or more
      • T•••••• I••• · Sole And Managing Member
        indirect · owns 75% or more of T•••••• O•••••••• C••••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • T•••••• Advisors, LLC
        investment adviserpooled vehicle sponsornRAUM $2.3B
      • F••••••• F•••••••• C•••••••••
        real estaten
      • T••••••• F••••••••• G•• L••
        investment adviserpooled vehicle sponsorn
      Advisers that list T•••••• A•••• M••••••••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 2
        Apr 10, 2019 to May 23, 2019
      • Advisory employees · 8 to 2
        Apr 10, 2019 to May 23, 2019
      • Pooled vehicle clients · 8 to 2
        Apr 10, 2019 to May 23, 2019
      • Employees · 8 to 2
        Apr 10, 2019 to May 23, 2019
      • Private funds · 8 to 2
        Apr 10, 2019 to May 23, 2019
      • Discretionary RAUM · $1.7B to $76.3M
        Apr 10, 2019 to May 23, 2019
      • Pooled vehicle RAUM · $1.7B to $76.3M
        Apr 10, 2019 to May 23, 2019
      • RAUM · $1.7B to $76.3M
        Apr 10, 2019 to May 23, 2019
      • Advisory employees · 9 to 8
        Mar 28, 2018 to Mar 26, 2019
      • Employees · 44 to 8
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $1.8B to $1.7B
        Mar 28, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $1.8B to $1.7B
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $1.8B to $1.7B
        Mar 28, 2018 to Mar 26, 2019
      • Related bank · true to false
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 9 to 8
        Apr 28, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Apr 28, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 8.0
        Apr 28, 2017 to Mar 28, 2018
      • Employees · 40 to 44
        Apr 28, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Apr 28, 2017 to Mar 28, 2018
      • Private funds · 9 to 8
        Apr 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.0B to $1.8B
        Apr 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1775592001.0
        Apr 28, 2017 to Mar 28, 2018
      • RAUM · $2.0B to $1.8B
        Apr 28, 2017 to Mar 28, 2018
      • Accounts · 8 to 9
        Apr 21, 2016 to Mar 30, 2017
      • Advisory employees · 11 to 9
        Apr 21, 2016 to Mar 30, 2017
      • Employees · 34 to 40
        Apr 21, 2016 to Mar 30, 2017
      • Private funds · 7 to 9
        Apr 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.9B to $2.0B
        Apr 21, 2016 to Mar 30, 2017
      • RAUM · $1.9B to $2.0B
        Apr 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.7B to $1.9B
        Mar 29, 2016 to Apr 21, 2016
      • RAUM · $1.7B to $1.9B
        Mar 29, 2016 to Apr 21, 2016
      • Accounts · 7 to 8
        Jan 4, 2016 to Mar 29, 2016
      • Employees · 28 to 34
        Jan 4, 2016 to Mar 29, 2016
      • Discretionary RAUM · $2.1B to $1.7B
        Jan 4, 2016 to Mar 29, 2016
      • RAUM · $2.1B to $1.7B
        Jan 4, 2016 to Mar 29, 2016
      • Related broker-dealer · true to false
        Jan 4, 2016 to Mar 29, 2016
      Signals
      1 dated events
      • T•••••• A•••• M••••••••• C••••••• L•• reported RAUM $76.3M, down 96% from $1.7B (2019-04-10 to 2019-05-23)
        May 23, 2019 · RAUM change · derived
      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